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    Senior Compliance Officer - Doral, United States - Leeds Professional Resources

    Leeds Professional Resources
    Leeds Professional Resources Doral, United States

    3 weeks ago

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    Description

    Exciting opportunity for a Senior 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
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