Compliance Officer Job at Larson Maddox, Miami, FL

K1NMVWh5ZTJ1WXAwYk5PZkdVc2s1bzhLR0E9PQ==
  • Larson Maddox
  • Miami, FL

Job Description

Compliance Analyst Responsibilities:

  • Manage day-to-day Compliance operations for the US office.
  • Assist with Compliance Monitoring for the Central Monitoring team in London.
  • Provide guidance on pre and post-trade Investment Compliance queries.
  • Support US and Canadian regulatory filings.
  • Collaborate with the broader Compliance team on various Compliance matters.
  • Advise on existing US regulations and implement new ones.
  • Draft, review, and maintain policies.
  • Assist in AML/KYC reviews.
  • Opportunity for training in the London office.
  • Potential to obtain FINRA licensing and serve as an onsite Supervisory Principal.

Compliance Analyst Qualifications:

  • Understanding of SEC rules related to the 1940 Act and regulatory filings.
  • Familiarity with SEC marketing rules and review processes.
  • 1-4 years of experience in compliance, operations, or related financial services.
  • Bachelor's degree from an accredited university or equivalent.

Desired, but not essential:

  • Interest in obtaining FINRA licensing (Series 7 and 24).
  • Understanding of various investment vehicle types.
  • Experience with equity strategies and ERISA Compliance.
  • Familiarity with Investment Compliance and guideline monitoring

Job Tags

Full time,

Similar Jobs

Yale New Haven Health

Endoscopy Registered Nurse Job at Yale New Haven Health

 ...Health System (YNHHS) healthcare team, the Registered Professional Nurse (RN) upholds the YNHHS mission, vision, values and strategic...  .../lifting patients ranging from five (5) to three hundred (300) pounds. Additional Information: Endoscopy experience required.... 

NavitsPartners

Travel Registered Nurse - Labor and Delivery - RNLD25-32210 Job at NavitsPartners

 ...Job Title: Travel Registered Nurse Labor and Delivery Location: Fort Myers, FL Type: Contract - 14 Weeks Pay Rate From: $55/hr Area: Labor & Delivery | 19-Bed Unit Position Overview: Navitas Healthcare, LLC is seeking Registered Nurse Labor and... 

Commonwealth Medical Services

Pediatric Neurologist - Greenville, North Carolina Job at Commonwealth Medical Services

 ...Pediatric Neurologist Greenville, North Carolina A growing neurology program in Greenville, North Carolina is seeking a Board Eligible or Board Certified Pediatric Neurologist to join an established pediatric neurology practice. This position offers the opportunity... 

Impec Group

Conserje/Janitor Job at Impec Group

 ...Conocimientos y Habilidades - Fuertes habilidades organizativas y de gestin del tiempo. - Conocimiento de las mejores prcticas en limpieza y mantenimiento de instalaciones. - Capacidad para permanecer de pie durante perodos prolongados de tiempo, realizar trabajos f... 

Olin College of Engineering

Web Content Specialist Job at Olin College of Engineering

 ...the Associate Director of Digital Content Management. QUALIFICATIONS: Bachelors degree in marketing, communications, digital media, or related field, with 35 years of progressive experience in web content management, digital communications, or related work, or...