Compliance Officer Job at Larson Maddox, Miami, FL

am5xaUFkb1ZZQ01XU2NWRUN2OVZGZmpMRmc9PQ==
  • Larson Maddox
  • Miami, FL

Job Description

Compliance Analyst Responsibilities:

  • Manage day-to-day Compliance operations for the US office.
  • Assist with Compliance Monitoring for the Central Monitoring team in London.
  • Provide guidance on pre and post-trade Investment Compliance queries.
  • Support US and Canadian regulatory filings.
  • Collaborate with the broader Compliance team on various Compliance matters.
  • Advise on existing US regulations and implement new ones.
  • Draft, review, and maintain policies.
  • Assist in AML/KYC reviews.
  • Opportunity for training in the London office.
  • Potential to obtain FINRA licensing and serve as an onsite Supervisory Principal.

Compliance Analyst Qualifications:

  • Understanding of SEC rules related to the 1940 Act and regulatory filings.
  • Familiarity with SEC marketing rules and review processes.
  • 1-4 years of experience in compliance, operations, or related financial services.
  • Bachelor's degree from an accredited university or equivalent.

Desired, but not essential:

  • Interest in obtaining FINRA licensing (Series 7 and 24).
  • Understanding of various investment vehicle types.
  • Experience with equity strategies and ERISA Compliance.
  • Familiarity with Investment Compliance and guideline monitoring

Job Tags

Full time,

Similar Jobs

Dermatology Skin and Cancer Institute

Surgery Center Nurse Administrator Job at Dermatology Skin and Cancer Institute

SUMMARY OF POSITION As the Surgery Center Nurse Administrator, the Registered Nurse with a background in perioperative nursing and surgery center operations will report directly to the Medical Director and CEO and will oversee the planning, accreditation, organizing... 

Northeast Healthcare Recruitment, Inc.

Locum Tenens Opportunity for Nurse Practitioners Job at Northeast Healthcare Recruitment, Inc.

We are seeking dedicatedNurse Practitioners (NPs) and Physician Assistants (PAs) for locum tenenspositions in the Greenville, NC area.This...  ...visits, including physical exams, intake, and assessments.Travel to patient locations, whether in-home or using a fully... 

Eliassen Group

Front End Angular Developer Job at Eliassen Group

 ...industry-leading financial services client is seeking a Front End Angular Developer. Due to client requirement, applicants must be willing...  ...provides a local community presence, balanced with international reach. Eliassen Group strives to positively impact the lives... 

Visiting Angels

Home Caregiver - Immediate Start for Live-Ins or all shifts Days or Overnights Job at Visiting Angels

 ...Are you a compassionate caregiver in search of a rewarding new role? Choose Hourlyor Live-In shifts, Start Immediately APPLY TODAY for immediate consideration. We will be filling this role quickly for an immediate start. Benefits of Becoming a Visiting Angel Caregiver... 

Doug Bryson

IT Project Manager Job at Doug Bryson

 ...We are currently seeking an IT Project Manager for a 6 month contract role in Woodland Park, NJ (hybrid). The pay is based on experience. Experience in the Hospital / Healthcare industry and PMP certified are a major plus. JOB SUMMARY: - Manage projects scope,...