TheComplianceSpecialistwilloverseeandsupport the firm's complianceprogram.
Client Details
Theclientisafinancialservicesfirmspecializinginprovidingindividualsandbusinesseswithaccesstointernationalinvestmentopportunitiesandpersonalizedfinancialsolutions.Thefirmfocusesonwealthpreservationandgrowthwhilemaintainingstrongstandardsofregulatorycompliance,riskmanagement,andclientservice.
Description
- Track, evaluate, and communicate regulatory updates relevant to the broker-dealer and securities industry.
- Review and revise the firm's Written Supervisory Procedures (WSPs) to reflect regulatory changes and evolving business practices.
- Draft, implement, and maintain compliance policies and procedures designed to meet applicable legal and regulatory obligations.
- Support the administration and oversight of Anti-Money Laundering (AML), Know Your Customer (KYC), and other required compliance programs.
- Perform periodic compliance reviews, internal audits, and inspections to identify control deficiencies and recommend corrective actions.
- Review, investigate, and coordinate responses to client complaints, regulatory requests, and compliance-related matters within established deadlines.
- Advise employees on compliance requirements and assist in developing and delivering internal training programs.
- Partner with business and operational teams to identify emerging risks and implement appropriate risk-mitigation measures.
- Evaluate existing compliance processes against industry standards and recommend enhancements to strengthen the firm's control environment.
- Support the onboarding of new clients by reviewing documentation and verifying compliance with applicable requirements.
- Conduct ongoing AML account monitoring and escalate unusual or potentially suspicious activity in accordance with established procedures.
- Maintain comprehensive and organized records of compliance reviews, audits, regulatory submissions, employee training, and other relevant activities.
Profile
Qualifications and Requirements
- Compliance expertise: Experience administering, implementing, and monitoring compliance programs, preferably within a FINRA-regulated broker-dealer.
- Regulatory knowledge: Familiarity with securities regulations, supervisory requirements, and the compliance obligations applicable to broker-dealer operations.
- Analytical capabilities: Strong analytical and problem-solving skills, with the ability to interpret regulatory guidance, evaluate financial information, and identify potential risks associated with investment-related activities.
- Communication skills: Ability to prepare clear and accurate reports, policies, procedures, and compliance guidance, as well as communicate effectively with management, regulators, and internal stakeholders.
- Industry experience: Previous experience working in a broker-dealer or another FINRA-regulated financial services organization is required.
- Education: Bachelor's degree in Finance, Law, Business Administration, or a related discipline.
- Professional certifications: Compliance-related credentials, such as CAMS or CRCM, are advantageous.
- Professional judgment: Strong attention to detail, sound ethical judgment, discretion, and the ability to manage responsibilities independently in a highly regulated, deadline-oriented environment.
- Language proficiency: Professional fluency in both English and Spanish.
- FINRA registrations: SIE and Series 7 registrations are preferred. Series 24 is desirable, or the candidate must be willing and able to obtain it within the first year of employment.
Job Offer
Thecandidatewillhavetheopportunitytojoinaninternationalfinancialservicesenvironmentinafull-time,on-siteroleinMiami,withexposuretoglobalfinancialmarkets,regulatorycompliance,andriskmanagement.Thepositionofferstheopportunitytodevelopcomplianceexpertise,workcloselywithinternalstakeholders,andexpandprofessionalqualificationsandcareergrowthwithintheFINRA-regulatedbrokerageindustry.
MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.