-
Compliance Associate
2 weeks ago
Velox Clearing Miami, United StatesWe are a clearing broker/dealer located in Miami, Florida in search of a Compliance Associate with 3-5 years of relevant experience working within the compliance department of a FINRA member firm. Preference will be given to applicants that have clearing firm experience and meet ...
-
Research Compliance Associate
2 weeks ago
Millennium Management Miami, United StatesResearch Compliance Associate · Responsibilities · Administer the Firm's research compliance program including the initial due diligence and ongoing surveillance of third-party research providers. · Administer the Firm's data compliance program including the initial due dilig ...
-
Senior Associate, Export Compliance
3 weeks ago
KPMG Miami, United States**Business Title:** Senior Associate, Export Compliance · **Requisition Number:** · **Function:** Tax Services · **Area of Interest:** · **State:** FL · **City:** Miami · **Description:** · At KPMG, you can become an integral part of a dynamic team at one of the world's top tax ...
-
Associate Nurse Manager
1 day ago
Jackson Health System Miami, United StatesFacility: Jackson North Medical Center - Cardio/Pulmonary · Address: 160 NW 170th ST, North Miami Beach, FL 33169 · Hours for shift: 7:00pm - 7:30am · Summary · The Associate Nurse Manager reports directly to the Nurse Manager and oversees daily operations of assigned shift ensur ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) Neurology Level I for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: Neurology · Discipline: RN · Duration: Ongoing · 40 hours per week · Shift: 8 hours, days · Employment Type: Staff · The Dep ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) Med Surg Level II for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: Med Surg · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours · Employment Type: Staff · The Registere ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) Med Surg / Telemetry Level II for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: Med Surg / Telemetry · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours · Employment Typ ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) Med Surg / Telemetry Level II for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: Med Surg / Telemetry · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours · Employment Typ ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) Urology Level II for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: Urology · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours · Employment Type: Staff · Up to $25,000 S ...
-
Associate Nurse Manager
1 week ago
Jackson Health System Miami, FL, United StatesMiami, FL Full-Time JW-5th Floor · Summary · The Associate Nurse Manager reports directly to the Nurse Manager and oversees daily operations of assigned shift ensuring proper care is provided to all patients. The Associate Nurse Manager is accountable to ensure high quality, safe ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) PCU - Progressive Care Unit Level II for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: PCU - Progressive Care Unit · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours · ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) Med Surg / Telemetry Level II for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: Med Surg / Telemetry · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours · Employment Typ ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) Oncology Level II for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: Oncology · Discipline: RN · Duration: Ongoing · 40 hours per week · Shift: 8 hours, days · Employment Type: Staff · Specialt ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) Oncology Level II for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: Oncology · Discipline: RN · Duration: Ongoing · 40 hours per week · Shift: 8 hours, days · Employment Type: Staff · Specialt ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) PCU - Progressive Care Unit Level II for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: PCU - Progressive Care Unit · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours · ...
-
Senior Manager Dangerous Goods
2 weeks ago
Atlas Air Miami, United StatesEnsure compliance with domestic and international dangerous goods regulations set forth by the Federal Aviation Administration (FAA), International Civil Aviation Organization (ICAO), International Air Transport Association (IATA) and other relevant Manager, International, Operat ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) Oncology Level II for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: Oncology · Discipline: RN · Duration: Ongoing · 40 hours per week · Shift: 8 hours, days · Employment Type: Staff · Specialt ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) Oncology Level II for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: Oncology · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours, nights · Employment Type: Staff · UMHC- ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) Oncology Level II for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: Oncology · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours, nights · Employment Type: Staff · Speci ...
-
Staff - Registered Nurse (RN) - Educator
1 week ago
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) Educator for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: Educator · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours · Employment Type: Staff · Surgical Oncology/Tele ...
Compliance Associate - Miami, United States - Velox Clearing
Description
OPERATIONS ASSOCIATE (Correspondent Clearing Firm)
We are a clearing broker/dealer located in Miami, Florida in search of a Compliance Associate with 2-3 years of relevant experience working within the compliance department of a FINRA member firm. Preference will be given to applicants that have clearing firm experience and meet all required licensing and certifications.
DUTIES AND RESPONSIBILITIES
· Assist the Chief Compliance Officer, AMLCO, and Risk Manager in the development, maintenance, and management of the Firm's compliance program pursuant to FINRA and SEC rules and regulations
· Support the overall compliance efforts of the Chief Compliance Officer and AMLCO
· Assist in daily, bi-monthly and monthly FinCEN monitoring, OFAC screening, and other routine monitoring and reporting
· Assist the risk and surveillance team with trade surveillance and risk management efforts, tracking and follow-up of escalated matters
· Assist in responding to regulatory, internal and external inquiries
· Assist with client onboarding processing and due diligence reviews
· Participate in the development and delivery of the in-person annual compliance meeting
· Participate in various data protection, privacy and information security initiatives
· Build, maintain, and operate workflows to support the compliance program
· Support the compliance team in the monitoring of employee communications, personal trading reviews and other compliance initiatives as assigned
QUALIFICATIONS
· Three (3) to Five (5) years' experience as a compliance professional supporting the compliance function at a FINRA member firm; knowledge of equity and options trading a plus
· Highly proficient with Microsoft Word, Excel and Outlook and generally skilled with learning and administering technological applications
· Experience and/or certification with Jira or similar work management software a plus
· Independent self-starter with a positive, can-do attitude; ability to engage proactively
· Highly organized with an the ability to effectively manage changing priorities
· A clean FINRA U4 and background is required for this position
License or Certification Requirements
· FINRA Series 7 required
· FINRA Series 24 preferred (or obtained within 1 year)
This position is a full-time hybrid position located at our headquarters in Miami, FL. Salary is competitive, and medical, dental and vision benefits are included. Life, long-term disability and 401(k) options are available.
For more details, please contact us at or email us as -