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Broker Dealer Compliance Officer
Ref No.: 17-03794
Location: Fort Lauderdale, Florida
Position Type:Full Time
JOB DESCRIPTION
The Broker-Dealer Compliance Officer will be responsible for:
  • Management of the Compliance Program
  • Monitoring business and regulatory developments and ensuring appropriate response
  • Registering personnel
  • Reviewing branches, marketing material, and electronic communications
  • Administration of AML program
  • Monitoring employee trading, entertainment practices, OBAs, and customer complaints
  • Analysis and resolution of compliance matters
  • Cooperation with and responding to regulatory inquiries and examinations
REQUIRED SKILLS
  • 5+ years of Broker-Dealer experience
  • Bachelor's Degree in Finance
  • Series 7 and 24 licenses
  • Compliance background
Third Party Applications Not Accepted