- 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
- Fluency in English and Spanish
- Securities Licenses: Series 7,24
-
Compliance Officer
2 weeks 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 ...
-
Compliance Officer
1 day ago
Insight Global Miami, United StatesMUST HAVES: · Submit your CV and any additional required information after you have read this description by clicking on the application button. Bachelor's degree in Finance or related field · 5+ years of securities industry experience in a supervisory or compliance capacity ...
-
Compliance Officer
1 week ago
Talentry LLC Miami, United StatesJob Description · Compliance Officer · Onsite Work in Miami, FL · 180-200k total comp. · 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 revise policies and ...
-
Senior Compliance Officer
1 week 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 ...
-
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 ...
-
Senior Compliance Officer
4 days ago
CRO Strategies Miami, United StatesThe Senior Compliance Officer plays a critical role in promoting a culture of compliance, risk management, and quality assurance. · Key Responsibilities: · Regulatory Compliance: · Ensure that all clinical trials conducted at the site comply with federal, state, and local regulat ...
-
Senior Compliance Officer
4 hours 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 ...
-
Regional Compliance Officer, LATAM
23 hours ago
Arthur J. Gallagher & Company Miami, United StatesRegional Compliance Officer, Latin America & the Caribbean Arthur J. Gallagher & Co. (Gallagher) is a global leader in insurance, risk management and consulting services. We help businesses grow, communities thrive and people prosper. We live a cultu Compliance Officer, Officer, ...
-
Fintech BaaS Compliance Officer
5 days ago
Mbanq Miami, United StatesAbout Us: · Mbanq is a BaaS- Banking-as-a-Service provider with operations and customers in the United States. Mbanq was established to provide the technological capabilities necessary to create and operate digital financial services. Mbanq's solutions are suitable for both reta ...
-
Barry University Miami, United StatesProvides admissions/academic advising to Pre-Nursing, Transfer, and Conditionally Accepted students. This position is also responsible for maintaining accurate and current data on student's health and regulatory status. Responsible for communicating with advisors, faculty, and cl ...
-
Chief Compliance Officer- Broker Dealer
1 week 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 ...
-
Barry University Miami, United StatesProvides admissions/academic advising to Pre-Nursing, Transfer, and Conditionally Accepted students. This position is also responsible for maintaining accurate and current data on student's health and regulatory status. Responsible for communicating with advisors, faculty, and cl ...
-
Building Code Compliance Officer 1
5 days ago
Miami-Dade Seaport Department Miami, United StatesBachelor's degree. One year of experience in code enforcement, investigations, or administration at the local, state, or federal level is required. Additional experience in code enforcement, investigations, or administration at the local, state, or federal level may substitute fo ...
-
Miami-Dade Seaport Department Miami, United StatesBachelor's degree. One year of experience in the processing, investigation or enforcement of zoning regulations, building codes, health sanitation codes, environmental codes, nuisance codes, solid waste disposal codes or other municipal code enforcement regulations are required. ...
-
Director of Compliance
1 week 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 ...
-
Senior Wealth Advisor SAFE Act
2 weeks ago
Citi Miami, United States Full timeCiti Global Wealth brings together the full power of Citi to serve the entire continuum of wealth clients. The unified business supports ultra-high-net-worth individuals and family offices through Citi Private Bank, operates in the affluent and high-net worth segments through Cit ...
-
Associate Nurse Manager
1 week 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 ...
-
tpg - environmental health & safety engineer
6 days ago
Careerbuilder-US Miami, United StatesJob Description · Position Summary: The Environmental · Health & Safety Engineer will be responsible for leading the implementation · of the Company's Safety, Health and Environmental Program. The Safety Engineer · shall ensure compliance of Company and regulatory safety and envi ...
-
Fiduciary Risk Officer
1 week ago
Banco Sabadell, Miami Branch Miami, United StatesSabadell Overview · Sabadell is a global financial institution headquartered in Barcelona, Spain and one of Europe's oldest and most successful banking groups since its founding in 1881. Sabadell covers all areas of the financial business sector under a common denominator: profes ...
-
Tax Manager
5 days ago
RPL International Miami, United StatesJob Title: Tax Manager · Position Overview: · The firm is seeking a Tax Manager to oversee all aspects of tax compliance and reporting processes. This role involves managing tax planning strategies, ensuring compliance with regulations, and identifying optimization opportunities. ...
Compliance Officer - Miami, 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
Qualifications: