- Bachelor's degree in Finance or related field
- 5+ years of securities industry experience in a supervisory or compliance capacity
- Bilingual in English and Spanish
- NASAA Series 65 or 66
- FINRA Series 7 & 24
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Senior Compliance Officer
6 days ago
Leeds Professional Resources Miami, United StatesExciting 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 fo ...
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Chief Compliance Officer
2 weeks ago
Talentry LLC Miami, United StatesJob Description · Chief Compliance Officer · Onsite Work in Miami, FL · 215-225k total comp. · Talentry is looking for a Chief Compliance Officer to ensure our HIPAA, accreditation (URAC, VIPPS, ACHC, etc.), and statutory compliance. The right person will develop and revise p ...
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Chief Compliance Officer
1 week ago
JazzHR Miami, United StatesJOB TITLE: · Chief Compliance Officer · EMPLOYER: · A-CAP Services · DEPARTMENT: · Legal and Compliance · REPORTS TO: · Chief Legal Officer · LOCATION · : · Onsite in Miami, ( Brickell ) · ABOUT THE COMPANY · A-CAP is a rapidly growing organization that owns and opera ...
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Chief Compliance Officer
2 weeks ago
A-CAP Miami, United StatesJOB TITLE: Chief Compliance Officer · EMPLOYER: A-CAP Services · DEPARTMENT: Legal and Compliance · REPORTS TO: Chief Legal Officer · LOCATION: Onsite in Miami, (Brickell) · ABOUT THE COMPANY · A-CAP is a rapidly growing organization that owns and operates multiple insuranc ...
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Compliance Team Officer
1 week ago
Ahtna Miami, United StatesSummary: · Conducts continuous quality control inspections of staff in the field on assigned shifts and departments utilizing approved QA Forms derived from ICE Detention Standards. · *Please Note: This position is contingent upon a contract award. We will not be actively respo ...
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Compliance Officer
3 weeks ago
Evolve1Talent, LLC Miami, United StatesCompliance Officer-fast and growing healthcare organization · Evolve1talent is supporting a long term client in search for a Compliance Officer. The Compliance Officer is a pivotal leadership role responsible for steering the compliance strategy and ensuring the integrity of the ...
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Compliance Officer
3 weeks ago
Evolve1talent Llc Miami, United StatesCompliance Officer-fast and growing healthcare organization · Evolve1talent is supporting a long term client in search for a Compliance Officer. The Compliance Officer is a pivotal leadership role responsible for steering the compliance strategy and ensuring the integrity of the ...
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Compliance Officer
3 weeks ago
Talentry LLC Miami, United StatesJob Description · Compliance Officer · Onsite Work in Miami, FL · 180-220k total comp. Relo available. · Talentry is looking for a Compliance Officer to ensure our HIPAA, accreditation (URAC, VIPPS, ACHC, etc.), and statutory compliance. The right person will develop and revi ...
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Chief Compliance Officer- Broker Dealer
6 days ago
Leeds Professional Resources Miami, United StatesResponsibilities · Develop and implement an effective legal compliance program · Create sound internal controls and monitor adherence to them · Draft and revise company policies · Proactively audit processes, practices and documents to identify weaknesses · Evaluate business acti ...
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Deputy Chief Compliance Officer
1 week ago
Insigneo Advisory Services, LLC Miami, United StatesThe Deputy Chief Compliance Officer for Insigneo Advisory Services supports the Chief Compliance & Risk Officer in the development and implementation of the Firms compliance program and plan of the investment adviser designed to promote compliance with applicable securities regul ...
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Senior Compliance Officer
4 weeks ago
CRO Strategies Miami, United StatesThe Senior Compliance Officer plays a critical role in promoting a culture of compliance, risk management, and quality assurance. · Be one of the first applicants, read the complete overview of the role below, then send your application for consideration. · Key Responsibilities ...
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SVP, Senior AML Compliance Officer
2 days ago
Citigroup Inc Miami, United StatesThe Compliance Anti-Money Laundering (AML) Risk Management Senior Officer is a senior level position responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader AML team. The o ...
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Code Compliance Officer I
2 weeks ago
City of Doral, FL Miami, United StatesSalary: $51, $79,429.32 AnnuallyLocation : City of Doral, FLJob Type: Full TimeJob Number: Department: Code ComplianceOpening Date: 05/17/2024Closing Date: 5/31/2024 5:00 PM EasternGeneral Purpose Investigates, researches and resolves questions, complaints, violations and issues ...
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Code Compliance Officer
5 days ago
City of Hollywood Pembroke Pines, United StatesSHIFT WORK. FLEXIBILITY IS A MUST. WORKING SCHEDULE WILL BE PROVIDED ONCE TRAINING HAS BEEN COMPLETED. Come to a City that Builds Careers As one of the largest cities in Broward County, the City of Hollywood provides an energetic, innovative and col Compliance Officer, Officer, C ...
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Operations Lead
2 weeks ago
Blankfactor Miami, United StatesWhat we do · At Blankfactor, we are dedicated to engineering impact. We are passionate about creating value by building best-in-class tech solutions for companies looking to transform, innovate, and scale. In every project, we aim to deliver work that moves the needle and drives ...
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Office Assistant
1 day ago
JobSquad Staffing South Florida Miami, United StatesWe are seeking a highly organized and detail-oriented Office Administrator to join our dynamic team in the transportation industry. The ideal candidate will have strong Excel skills and be bilingual, with proficiency in both English and Spanish. This role requires a proactive ind ...
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Fiduciary Risk Officer
2 weeks ago
Ascendo Resources Miami, United StatesAbout Us: A financial institution in the realm of private banking. · Requirements: · Experience in Private Banking with a strong understanding of industry standards and practices. · Proficiency in data analysis and report preparation using advanced Excel formulas, Pivot Tables, ...
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Chief Compliance
1 day ago
PhoenixProConnect, LLC Miami, United StatesJob Description: Chief Operating Officer (COO) Location: Brickell, FL · Position Overview: Phoenix Pro Connect is partnering with an evolving Private Credit and Private Equity firm in Miami, managing diverse funds. As the organization progresses, it's imperative to prioritize ope ...
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Compliance Analyst
1 day ago
BRICKELL PERSONNEL CONSULTANTS, INC. Miami, United StatesBSA/AML & Sanctions Analyst - TEMP TO HIRE - BRICKELL AVENUE · The BSA / OFAC Analyst is responsible for assisting the Chief Compliance Officer in executing compliance functions of the Bank's OFAC Program, CIP/KYC/CDD Program, FinCEN reporting, and the Bank's BSA/AML & OFAC syst ...
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Consumer Loan Underwriter
1 day ago
Ascendo Resources Miami, United StatesResponsibilities: · Evaluate and analyze consumer loan applications, including personal, auto loans and credit card applications, to determine creditworthiness and risk level. · Review applicants' financial documents, credit reports, and other relevant information to assess their ...
Compliance Officer - Miami, United States - Insight Global
![Insight Global background](https://contents.bebee.com/companies/us/insight-global/background-Krztu.png)
Description
MUST HAVES:
PLUSSES:
Day to day:
The Deputy Chief Compliance Officer supports the Chief Compliance & Risk Officer in the development and implementation of the Firms compliance program. They will also partner in ensuring that a company adheres to all applicable laws, regulations, and internal policies. Responsibilities typically include developing compliance programs, conducting risk assessments, training staff, monitoring compliance efforts, and investigating potential violations. They may also collaborate with other departments to implement compliance measures and advise senior management on compliance-related matters. Additionally, they may represent the company during regulatory inspections and audits. Strong leadership, analytical skills, and knowledge of relevant laws and regulations are essential for this role.