- the Chief Compliance Officer, AMLCO, and Risk Manager in the development, maintenance, and management of the Firm's compliance program pursuant to FINRA and SEC rules and regulations
- the overall compliance efforts of the Chief Compliance Officer and AMLCO
- in daily, bi-monthly and monthly FinCEN monitoring, OFAC screening, and other routine monitoring and reporting
- the risk and surveillance team with trade surveillance and risk management efforts, tracking and follow-up of escalated matters
- in responding to regulatory, internal and external inquiries
- with client onboarding processing and due diligence reviews
- in the development and delivery of the in-person annual compliance meeting
- in various data protection, privacy and information security initiatives
- maintain, and operate workflows to support the compliance program
- the compliance team in the monitoring of employee communications, personal trading reviews and other compliance initiatives as assigned
- (3) to Five (5) years' experience as a compliance professional supporting the compliance function at a FINRA member firm; knowledge of equity and options trading a plus
- proficient with Microsoft Word, Excel and Outlook and generally skilled with learning and administering technological applications
- and/or certification with Jira or similar work management software a plus
- self-starter with a positive, can-do attitude; ability to engage proactively
- organized with an the ability to effectively manage changing priorities
- clean FINRA U4 and background is required for this position
- Series 7 required
- Series 24 preferred (or obtained within 1 year)
-
Compliance Associate
16 hours ago
The 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 revie ...
-
Compliance Associate
1 week 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 ...
-
Research Compliance Associate
1 week ago
Millennium Management Miami, United StatesResearch Compliance Associate · Responsibilities · 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 dilig ...
-
Senior Associate, Export Compliance
2 weeks ago
KPMG Miami, United States**Business Title:** Senior Associate, Export Compliance · **Requisition Number:** · **Function:** Tax Services · **Area of Interest:** · **State:** FL · **City:** Miami · **Description:** · At KPMG, you can become an integral part of a dynamic team at one of the world's top tax ...
-
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 ...
-
Senior Manager Dangerous Goods
2 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 ...
-
Violations Coordinator
1 day 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, 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: ...
-
Clinical Trial Manager
1 week 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 ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) Neurology Level I for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: Neurology · Discipline: RN · Duration: Ongoing · 40 hours per week · Shift: 8 hours, days · Employment Type: Staff · The Dep ...
-
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 ...
-
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 ...
-
University of Miami Miami, United StatesJob Description · University of Miami is seeking a Registered Nurse (RN) Urology Level II for a nursing job in Miami, Florida. · Job Description & RequirementsSpecialty: Urology · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours · Employment Type: Staff · ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) Med Surg Level II for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: Med Surg · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours · Employment Type: Staff · The Registere ...
-
Cobol Programmer
6 days ago
Tech Army, LLC Miami, United StatesTHIS IS A PART TIME JOB 10 HOURS a WEEK · Responsibilities: · Reporting and Compliance: This involves preparing and submitting various reports to the Department of Education (DOE) regarding different aspects of educational programs and allocations. It also involves maintaining an ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) Neurology Level I for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: Neurology · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours · Employment Type: Staff · The Universi ...
-
Clinical Research Associate IV
2 weeks ago
Orion Engineering Services Miami, United StatesJob description · Clinical Research Associate IV · 1 year initial contract · 100% remote - team is in Miami, FL · Hourly Pay Rate: $52.10/hr (client mandated for pay equity purposes) · The Clinical Research Associate (CRA) for our global medical device client's team in Miami, FL ...
-
University of Miami Miami, FL, United StatesUniversity of Miami is seeking a Registered Nurse (RN) Neurology Level I for a nursing job in Miami, Florida. · Job Description & Requirements · Specialty: Neurology · Discipline: RN · Duration: Ongoing · 36 hours per week · Shift: 12 hours · Employment Type: Staff · Up to $10,00 ...
-
Financial Advisor
1 week ago
Compu-Med Vocational Careers Corp Miami, United StatesSummary: · This position is responsible for assisting students to correctly complete applications for financial assistance from federal, state, and local programs. Must maintain compliance with all State, Federal, Title IV Funding requirements and accrediting standards. Keep upd ...
-
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 ...
Compliance Associate - Miami, United States - Velox Clearing
Description
We 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 all required licensing and certifications.
DUTIES AND RESPONSIBILITIES
QUALIFICATIONS
License or Certification Requirements
This position is a full-time onsite position located at our headquarters in Miami, FL. Salary is competitive, and medical, dental and vision benefits are included.Life, long-term disability and 401(k) options are available.
