Miami based Broker/Dealer seeks a Compliance Officer whose primary responsibilities include the management and oversight of all compliance related matters including the Firm's policies and procedures and SRO Rules and Regulations.  Our ideal candidate should be fluent in English and Spanish.  Position is located in Brickell Miami area and succesful applicant will report directly to the Chief Compliance Officer.

Day-to-Day Responsibilities

Work with Chief Compliance Officer (CCO) to report on compliance issues.

Daily surveillance of customer account transactions.  Review daily blotters for issues relating to suitability, excessive trading, etc. and escalate necessary matters to CCO.

Monitor and review all outgoing correspondence for the Branch.

Monitor for compliance with the Firm's anti-money laundering policies and procedures.

Monitor adherence to Firm's policies and procedures.

Coordinate with CCO on employee related matters, such as registration, licensing, regulatory filings and employee trading.

Assist CCO in the preparation of response to requests from regulatory agencies, employees, customers, and executive management as they relate to the Branch.

Oversee the Branch's compliance training program; ensure management and employees receive compliance training as required.

Work closely with internal audit and CCO on compliance issues and audit findings; assist CCO in managing and coordinating an effective follow-up process for audit exceptions.

Advise Registered Representatives of any new regulatory requirements.

Must have, at a minimum, the Series 7 and 24.