- 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 trading
- Interact 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
- 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)
-
Compliance Associate
3 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 ...
-
Compliance Associate
3 weeks ago
Velox Clearing Miami, United StatesOPERATIONS 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 ap ...
-
Associate Nurse Manager
1 week 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) 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 ...
-
Associate Nurse Manager
3 weeks 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 · ...
-
Senior Manager Dangerous Goods
3 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 ...
-
Senior Credit Officer
1 day ago
First Horizon Bank Miami, United States Full timeLocation: On site, Miami, FL · Summary · This position serves as a Senior Credit Officer for C&I credit requests to Commercial and Private Client borrowers in the South Region (markets located in Southeast Florida). This position evaluates credit requests for existing borrowers a ...
-
Outpatient Coder
1 day ago
Houston Methodist Miami, United States Full timeAt Houston Methodist, the Outpatient Coder position is responsible for ensuring diagnostic and procedure codes are assigned accurately to outpatient, emergency room, therapy, and/or clinic encounters based upon documentation within the electronic medical record while maintaining ...
-
Violations Coordinator
1 week ago
First Service Corporation Miami, United StatesDevelop and maintain a working knowledge of the Associations' Rules and Regulations per property. Patrol the property/properties, clubhouse, athletic center, as well as all other operating facilities to ensure that all compliances are being met. Cond Coordinator, Property Manager ...
-
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 · 40 hours per week · Shift: 8 hours, days · Employment Type: Staff · The Univer ...
-
University of Miami Miami, United StatesJob Description · University of Miami is seeking a Registered Nurse (RN) Neurology Level I for a nursing job in Miami, Florida. · Job Description & RequirementsSpecialty: Neurology · Discipline: RN · Duration: Ongoing · 40 hours per week · Shift: 8 hours, days · Employment Type: ...
-
University of Miami Miami, United StatesJob Description · University of Miami is seeking a Registered Nurse (RN) Oncology Level I for a nursing job in Miami, Florida. · Job Description & RequirementsSpecialty: Oncology · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours, days · Employment Type: S ...
-
Clinical Trial Manager
3 weeks ago
Sitero LLC Miami, United StatesSitero is an emerging leader in Clinical services and software solutions for the life sciences industry. We have experience and expertise in a diverse range of therapeutic areas and focus on innovative, technology-enabled solutions that allow our clients to focus on their core st ...
-
Staff - Level I Registered Nurse (RN) - Med Surg
2 weeks ago
University of Miami Miami, United StatesJob Description · University of Miami is seeking a Registered Nurse (RN) Med Surg Level I for a nursing job in Miami, Florida. · Job Description & RequirementsSpecialty: Med Surg · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours · Employment Type: Staff · ...
-
University of Miami Miami, United StatesJob Description · University of Miami is seeking a Registered Nurse (RN) Oncology Level I for a nursing job in Miami, Florida. · Job Description & RequirementsSpecialty: Oncology · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours · Employment Type: Staff · ...
-
University of Miami Miami, United StatesJob Description · University of Miami is seeking a Registered Nurse (RN) Med Surg Level II for a nursing job in Miami, Florida. · Job Description & RequirementsSpecialty: Med Surg · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours · Employment Type: Staff ...
-
Director of Compliance
3 weeks ago
Intermex Wire Transfer, LLC Miami, United StatesWhen it comes to money remittance services, Intermex is a leader you can trust. Founded in 1994, International Money Express (NASDAQ: IMXI) is a leading omnichannel provider of money transfer services. Focused on excellence, we always strive to provide unsurpassed quality and cus ...
-
University of Miami Miami, United StatesJob Description · University of Miami is seeking a Registered Nurse (RN) Med Surg / Telemetry Level II for a nursing job in Miami, Florida. · Job Description & RequirementsSpecialty: Med Surg / Telemetry · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours · ...
-
University of Miami Miami, United StatesJob Description · University of Miami is seeking a Registered Nurse (RN) PCU - Progressive Care Unit Level II for a nursing job in Miami, Florida. · Job Description & RequirementsSpecialty: PCU - Progressive Care Unit · Discipline: RN · Duration: Ongoing · 36 hours per week · Shi ...
Research Compliance Associate - Miami, United States - Millennium Management
Description
Research Compliance Associate
Responsibilities
