Job Description
Join our award-winning financial services firm as a Senior Compliance Officer in Miami. We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical excellence across our global operations. This high-impact role offers competitive compensation, comprehensive benefits, and clear pathways to leadership within our dynamic organization.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and international regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Advise senior leadership on regulatory changes and mitigation strategies
- Train staff on compliance policies and procedures
- Manage regulatory reporting and documentation requirements
- Collaborate with legal, audit, and business units to ensure cohesive compliance framework
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 7+ years of compliance experience in financial services
- FINRA Series 7, 24, 53, or 63 certifications required
- Expert knowledge of AML, BSA, and OFAC regulations
- Proven experience managing compliance programs in multinational organizations
- Strong analytical and problem-solving abilities
- Exceptional communication and stakeholder management skills