Compliance Officer - Doral, United States - Leeds Professional Resources

Description

Exciting opportunity for a Compliance Officer to join a strong broker-dealer headquartered here in Miami. Amazing opportunities for career growth Hybrid work schedule.

Responsibilities:

Risk and Compliance

• Conduct audits and testing of broker/dealer branch offices for their compliance of written policies and procedures
• Provide timely written reports to document findings and corrective actions to branch offices
• Track findings and delinquencies discovered during audits to discover trends and proactively suggest best practices or changes to policy in order to meet regulatory obligations
• Assist, as needed, with regulatory audits by FINRA, SEC, and state insurance and securities regulators
• Investigate complex issues, including internal investigations and customer complaints, as needed
• Perform onboarding due diligence on prospective individuals wanting to affiliate with the firm
• Provide support to the Chief Risk & Compliance Officer, providing direction to the firm's compliance staff and working with legal counsel in dealing with regulatory agencies
• Keep current with federal and state laws and regulations, assisting with updating Wealth Solutions policies and procedures as requested
• Conduct due diligence, as needed, on business issues that impact the overall compliance programs of Wealth Solutions

Qualifications:

• Fluency in English and Spanish
• Securities Licenses: Series 7,24