Compliance Associate - Doral, United States - Velox Clearing

Velox Clearing Doral, United States

1 month ago

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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

Assist the Chief Compliance Officer, AMLCO, and Risk Manager in the development, maintenance, and management of the Firms compliance program pursuant to FINRA and SEC rules and regulations
Support the overall compliance efforts of the Chief Compliance Officer and AMLCO
Assist in daily, bi-monthly and monthly FinCEN monitoring, OFAC screening, and other routine monitoring and reporting
Assist the risk and surveillance team with trade surveillance and risk management efforts, tracking and follow-up of escalated matters
Assist in responding to regulatory, internal and external inquiries
Assist with client onboarding processing and due diligence reviews
Participate in the development and delivery of the in-person annual compliance meeting
Participate in various data protection, privacy and information security initiatives
Build, maintain, and operate workflows to support the compliance program
Support the compliance team in the monitoring of employee communications, personal trading reviews and other compliance initiatives as assigned

QUALIFICATIONS

Three (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
Highly proficient with Microsoft Word, Excel and Outlook and generally skilled with learning and administering technological applications
Experience and/or certification with Jira or similar work management software a plus
Independent self-starter with a positive, can-do attitude; ability to engage proactively
Highly organized with an the ability to effectively manage changing priorities
A clean FINRA U4 and background is required for this position

License or Certification Requirements

FINRA Series 7 required
FINRA Series 24 preferred (or obtained within 1 year)

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.

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