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

The State of Oklahoma

Adminitrative Programs Officer I Job at The State of Oklahoma

Adminitrative Programs Officer I Location Oklahoma County, OK : Job Posting Title Adminitrative Programs Officer I Agency 340 OKLAHOMA STATE DEPARTMENT OF HEALTH Supervisory Organization 340 Long Term Care Job Posting End Date (Continuous if Blank) Note: Applications will... 

Lensa

Senior Physical Security & Safety Specialist Job at Lensa

 ...this job is to perform duties relevant to the organizations physical security and safety needs while working semi-independently under the...  ...compensation range is for the Senior Physical Security & Safety Specialist level job and contemplates a wide range of factors that are... 

CommonSpirit Health

Registered Nurse Med Surg-PRN Job at CommonSpirit Health

 ...Job Summary and Responsibilities 15% PRN additional differentials and shift differentials apply for this role! Nurses are at the heartbeat of our organization and...  ...united in humankindness. As a Registered Nurse (RN) you will assume responsibility and accountability... 

OtterBase Inc

Tool & Die Maker Job at OtterBase Inc

 ...Equipment Troubleshooting Troubleshooting Skills CAD Software G-Code Engineering Degree Manual Machining Skills Tool/Die/Mold Repair Skills Blueprint Reading Machines & technologies you'll use: CNC Mill (3-4 axis VMC) (Haas) Manual Grinder CNC... 

Single Grain

Social Media Manager Job at Single Grain

As Social Media Manager, youll create and schedule content, grow our audience, engage the community, and track performance to strengthen Leveling...  ...enhanced brand presence. Requirements: ~5+ years of experience managing social media platforms for brands or agencies. ~...