Job Description
Join our dynamic Miami team as a Compliance Officer with flexible scheduling options. We're seeking a detail-oriented professional to ensure regulatory adherence while maintaining work-life balance. This hybrid role offers remote flexibility combined with in-person collaboration at our state-of-the-art Brickell headquarters.
As a key member of our risk management division, you'll safeguard our operations while enjoying a schedule tailored to your lifestyle. Our commitment to professional development and cutting-edge compliance technology makes this an ideal opportunity for growth-oriented professionals.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, CFTC) and implement compliance protocols
- Conduct risk assessments and internal audits for financial products
- Develop training materials for staff on regulatory requirements
- Investigate potential compliance violations and recommend corrective actions
- Maintain accurate compliance documentation and reporting
- Collaborate with legal and operations teams on policy development
- Manage vendor compliance programs and third-party risk assessments
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 3+ years compliance/regulatory experience in financial services
- FINRA Series 7, 63, and 24/27 certifications (or ability to obtain within 90 days)
- Proficiency in compliance software (e.g., ComplianceEase, Adenza)
- Strong analytical skills with attention to regulatory detail
- Excellent written/verbal communication and presentation abilities
- Ability to work independently with flexible schedule requirements