Job Description
Join our prestigious financial institution in Miami's vibrant Brickell district as a Compliance Officer. We're seeking a seasoned professional to safeguard our operations against regulatory risks while driving ethical excellence. This high-impact role offers unparalleled career growth in one of America's most dynamic financial hubs. Enjoy competitive compensation, comprehensive benefits, and a culture of continuous learning.
Responsibilities
- Develop and implement compliance frameworks adhering to FINRA, SEC, and Florida state regulations
- Conduct risk assessments and internal audits for wealth management operations
- Train staff on AML, KYC, and anti-bribery protocols
- Collaborate with legal teams on regulatory changes and policy updates
- Manage regulatory reporting and examinations with state/federal authorities
- Lead remediation efforts for compliance gaps and control deficiencies
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 7+ years compliance experience in financial services
- FINRA Series 7, 24, and 63 licenses required
- Expert knowledge of BSA/AML and OFAC regulations
- Strong analytical skills with regulatory interpretation expertise
- Proven track record in managing regulatory examinations
- Proficiency in compliance monitoring software (e.g., NICE Actimize)