Compliance Associate - Miami, United States - Velox Clearing

Description

We 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 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 onsite 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.