Job Description
Join our dynamic team as a Compliance Officer in Miami and become a guardian of ethical excellence. You'll navigate complex regulatory landscapes, ensuring our operations align with federal, state, and industry standards. This pivotal role demands proactive risk mitigation and strategic compliance program development in a fast-paced financial environment. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in one of America's most vibrant cities.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and Florida regulations
- Conduct thorough internal audits and risk assessments to identify compliance gaps
- Provide expert guidance to stakeholders on regulatory requirements and policy updates
- Investigate potential violations and recommend corrective actions with thorough documentation
- Stay current with evolving regulations through continuous research and industry networking
- Train staff on compliance protocols and ethical standards
- Prepare detailed compliance reports for executive leadership and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- FINRA Series 7, 24, or 63/66 certifications required
- Deep knowledge of SEC, FINRA, and Florida banking regulations
- Exceptional analytical skills with attention to detail
- Strong written and verbal communication skills
- Proficiency in compliance software (e.g., Compliance.ai, LogicGate)
- Proven ability to manage complex compliance projects