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Compliance Analyst
Ref No.: 18-01703
Location: Miami, Florida
Position Type:Full Time
Pay Rate : $ 50,000.00 - 55,000.00 /Year
Our client in the Downtown Miami area is seeking a sharp compliance professional to join their team. The role requires a basic understanding of the core rules and regulations underpinning Client broker-dealer and SEC investment advisor compliance functions, business operations, strategy and process. The position requires close collaboration with the company's Compliance Officer and Compliance Team members.

  • Reviewing and updating compliance policies and procedures to reflect industry best practices
  • Drafting federal and state regulatory filings and compliance documentation
  • Maintain all required books, records, manuals and correspondence
  • Assisting with staff with any compliance-related matters
  • Drafting internal compliance materials
  • Assisting with the preparation, organization and maintenance of corporate documents
  • Coordinating and communicating with internal and external parties on various legal and compliance related matters
  • 1-3 years of compliance experience at a broker dealer
  • Bachelor's Degree
  • Fluency in the English language, Portuguese or Spanish are a plus
  • Working knowledge of broker-dealer and investment advisory functions
  • Ability to work closely with other teams and attention to detail
  • Highest degree of integrity, with ability to handle sensitive issues with complete discretion and confidentiality
  • Effective oral and written communication and stakeholder management skills