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Compliance Associate
2 weeks ago
Larson Maddox Doral, United StatesSummary · Our Client, an AmLaw 200 firm, is seeking a skilled Compliance Associate to join their dynamic team. The ideal candidate will have 3-6 years of experience counseling employers on a wide range of employment matters. The position is hybrid and based out of the Fort Lauder ...
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Compliance Associate
23 hours ago
University of Miami - Miller School of Medicine Doral, United StatesCurrent Employees: · If you are a current Staff, Faculty or Temporary employee at the University of Miami, please click here to log in to Workday to use the internal application process. To learn how to apply for a faculty or staff position using the Career worklet, please review ...
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Compliance Associate
3 days ago
University of Miami Doral, United StatesCurrent Employees: · If you are a current Staff, Faculty or Temporary employee at the University of Miami, please click here $) to log in to Workday to use the internal application process. To learn how to apply for a faculty or staff position using the Career worklet, please re ...
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Compliance Associate
2 hours ago
Corient Private Wealth LLC Doral, United StatesJoin a team that values your ambition and empowers your growth · At Corient, we help high- and ultra-high-net-worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for the people, causes and communit ...
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Compliance Associate
2 days ago
Corient Private Wealth LLC. Doral, United StatesJoin a team that values your ambition and empowers your growth · At Corient, we help high- and ultra-high-net-worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for the people, causes and communiti ...
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Compliance Associate
3 days ago
Corient Private Wealth LLC Doral, United StatesJoin a team that values your ambition and empowers your growth · At Corient, we help high- and ultra-high-net-worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for the people, causes and communit ...
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Compliance Associate
2 weeks ago
Nutanix Doral, United StatesCompliance Associate - OTC Surveillance The Compliance Department at Millennium serves to adopt, implement, and carry out a compliance program, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or de ...
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Compliance Associate
1 week ago
University of Miami Miami, United StatesCurrent Employees: · If you are a current Staff, Faculty or Temporary employee at the University of Miami, please click here $) to log in to Workday to use the internal application process. To learn how to apply for a faculty or staff position using the Career worklet, please re ...
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Compliance Associate
1 week ago
Sound Income Group Fort Lauderdale, United StatesJob Description · Job DescriptionDescription:Registered Investment Advisory Firm located in Fort Lauderdale, FL seeks local area full-time Compliance Associate with 3+ years of compliance and/or advertising experience in the Investment Advisory or Brokerage industry. · Candidate ...
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Compliance Associate
3 days ago
Sound Income Group Fort Lauderdale, United StatesRegistered Investment Advisory Firm located in Fort Lauderdale, FL seeks local area full-time Compliance Associate with 3+ years of compliance and/or advertising experience in the Investment Advisory or Brokerage industry. · Candidate must have a have high attention to detail an ...
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Citigroup Inc. Fort Lauderdale, United StatesThe KYC Operations Intmd Associate Analyst is an entry-level position responsible for participating in Anti-Money Laundering (AML) monitoring, governance, oversight and regulatory reporting activities in coordination with the Compliance and Control team. The overall objective of ...
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Associate Nurse Manager
1 week ago
Jackson Health System Doral, 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 e ...
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Director of Operations, NHP Breeding Facility
2 weeks ago
RPM ReSearch Doral, United StatesAssistant Site Director/ Director of Operations Primate Breeding Facility · Job Title: Associate Site Director - Primate Breeding Facility · Position Overview: · As the Associate Site Director for our Primate Breeding and Holding Facility, you will work closely with the Site D ...
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Accounting Manager
1 week ago
Trump Organization Doral, United States Regular Full timePOSITION PURPOSE: · Ensure that all audit work is balanced and completed in a timely and accurate manner. · EXAMPLES OF DUTIES: · ESSENTIAL FUNCTIONS: · Balance and code the previous day's work and prepare daily report for distribution. · Reconcile F&B outlets and banquet char ...
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Purchase Specialist
1 week ago
CAREERXCHANGE®, Inc. Doral, United StatesJoin a dynamic and rapidly expanding supplier of cutting-edge heating and cooling products at the forefront of innovation in the industry. Our company is committed to providing top-quality solutions to meet the diverse needs of our clients, ensuring their comfort and satisfaction ...
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Senior Construction Inspector
5 days ago
Ardurra Doral, United States Full timePrimary Function · Ideal candidates will have previous experience in site infrastructure projects, observing contractor's construction activities, and reviewing work for compliance with drawings and specifications. · Primary Duties · Positon will report to the Miami Dade Water ...
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MECM Systems Administrator
3 hours ago
Axis Technologies Doral, United States***NO 3rd Party Agency Candidates** · MECM Systems Administrator · Work Location: 100% Onsite - Doral, FL (No remote or hybrid option) · Clearance: Secret or Interim Secret to start (Must be able to obtain Top Secret/SCI) · MUST BE US CITIZEN for Clearance · Shift: 8am-4pm M-F (A ...
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System Engineer Sr. Advisor
1 week ago
General Dynamics Information Technology Doral, United StatesJob Description Summary: · Transform technology into opportunity as a System Engineer Sr. Advisor with GDIT. A career in enterprise IT means connecting and enhancing the information systems and environments that matter most. At GDIT you'll be at the forefront of innovation and pl ...
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MECM Systems Administrator
5 days ago
General Dynamics Information Technology Doral, United States Full timeMECM Systems Administrator Job Description Summary: Work Location: Onsite - Doral, FL (No telecommuting option) · Clearance: Secret (Must be able to obtain Top Secret/SCI) · Shift: 8am-4pm (After hours support as required) · GDIT provides enterprise-wide IT services in support ...
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Senior Strategic Account Manager
3 weeks ago
AssistRx Doral, United States PermanentThe Senior Account Manager cultivates and maintains AssistRx's relationship with our Pharmaceutical manufacturing partners. In this role, you'll be working with pharmaceutical executives (Associate Director and above) on a daily basis to ensure they are receiving maximum value fr ...
Research Compliance Associate - Doral, United States - Nutanix
Description
Research Compliance AssociateResponsibilities
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 diligence and ongoing surveillance of third party alternative data providers and internal web-scraping activities.
Assist the investigation and handling of the receipt of improper information including but not limited to material non-public information (MNPI) and personal identifiable information (PII).
General trading surveillance reviews, including focus on potential market manipulation and insider tradingInteract with the business and compliance teams on a daily basis to provide advice and guidance to firm personnel on compliance matters.
Prepare and conduct compliance trainings.Assist with regulatory examinations, inquiries, investigations and projects, as necessary.
Draft and amend compliance related policies and procedures
Monitor regulatory changes, updates and industry-wide compliance initiatives
Undertake and lead special compliance related projects involving various inter-department stakeholders
Qualifications
3-5+ years of experience. Prior due diligence, surveillance or related experience at regulatory authority, bank/broker or buy-side firm is ideal. Specifically looking for experience within research, data or control room compliance.
Bachelor's degree in Finance, Economics or similar is preferred.
FINRA SIE, Series 7 or 3 licenses, or IACCP designation are a plus.
Must be very detail oriented and organized, and able to work independently when necessary
Good communication skills quick learner, detail oriented; demonstrable thoroughness and strong ownership
Must be able to multi-task and manage competing deadlines of work
Attention to detail and the ability to identify complex problems, review related information to develop and evaluate options;
Good team player with a strong willingness to participate and help others
Proficiency in Excel (working with large data sets)
Millennium pays a total compensation package which includes a base salary, discretionary performance bonus, and a comprehensive benefits package.
The estimated base salary range for this position is $70,000 to $160,000, which is specific to New York and may change in the future.
When finalizing an offer, we take into consideration an individual's experience level and the qualifications they bring to the role to formulate a competitive total compensation package.
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