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

DSI Security Services

Security Officer Job at DSI Security Services

 ...strives to DO WHAT YOU SAY YOU WILL DO. The staff at DSI Job Skills / RequirementsDSI is growing, again! We are hiring Security Officers in Charlotte, NC. Come join a diverse and inclusive team that believes in providing excellent customer service and knows that... 

ThrasherGroup

Territory Sales Representative Job at ThrasherGroup

 ...Step Into a High-Impact Sales Career and Join Our Mission to Redefine Our Industry...  ...profession. The Role As a Territory Sales Representative, you will: Meet with pre-qualified...  ...one Full benefits: Medical, Dental, Vision, 401(k) with 5% match, HSA and more... 

MetLife

Short Term Disability Senior Quality Analyst Job at MetLife

 ...Skills): Prior training or management experience. Bachelor's degree in a related field or equivalent experience. At MetLife, we are leading the global transformation of an industry we've long defined. United in purpose, diverse in perspective, we are... 

W3Global

Staff accountant - entry level Job at W3Global

 ...order to cash process. This position is a key member of the Finance Team and will be responsible for maintenance of fixed assets, sales...  ...for all tax reporting, filings at both federal and state level including sales taxes, issuing 1099s and other tax matters Complies... 

ESR Healthcare

internal medicine physician arizona Job at ESR Healthcare

 ...Internal Medicine Physician Job Category Healthcare Location Bullhead City, AZ Employer Nature of Business Healthcare Organization Job Number Salary Not provided Description Internal Medicine Physicians needed by Bullhead City Clinic Corporation...