Broker / Dealer Compliance Officer (Bilingual English-Spanish)

Galicia Capital; Miami (FL); Sur place; USD 90 000 - 130 000; Plein temps

Avantages offerts par ce poste

Health insurance

Vision insurance

Life insurance

Disability insurance

401K with company match

Résumé du poste

Galicia Capital US, LLC, a FINRA/SIPC member, seeks a Compliance Officer in Miami to oversee regulatory adherence and internal policies. You will monitor changes, maintain WSPs, develop policies, and support audits. The role requires strong analytical and communication skills and broker-dealer experience.

Responsibilities include reviews of client documentation, assisting onboarding, and ensuring accurate recordkeeping, with training delivered to staff and collaboration across departments.

Qualifications

• Experience implementing and monitoring compliance programs.
• Ability to interpret regulations, analyze data, and assess risk in investment activities.
• Strong report writing and policy/guidance development skills.

Responsabilités

• Monitor regulatory changes and developments affecting the financial brokerage industry.
• Update Written Supervisory Procedures (WSPs) as needed.
• Develop and update compliance policies and procedures to ensure adherence to laws and regulations.
• Ensure AML/KYC compliance and other industry standards.
• Conduct internal audits and inspections to identify risks and improve controls.
• Investigate and respond to complaints and regulatory inquiries promptly.
• Provide training and guidance to employees on compliance issues.
• Collaborate with other departments to mitigate compliance risks.
• Maintain records of audits, filings, and training activities.
• Assist onboarding of new clients and AML monitoring accounts.

Connaissances

Compliance Management

Regulatory Compliance

Analytical Skills

Finance knowledge

Effective Communication

Broker-dealer experience

Regulatory reporting

Attention to detail

English/Spanish proficiency

Formation

Bachelor’s degree in finance, law, business, or related field

CRC M / CAMS certifications a plus

Description du poste

Job Description

Galicia Capital US, LLC, a fully owned subsidiary of Grupo Financiero Galicia SA (ticker GGAL) connects individuals and businesses with global investment opportunities, offering personalized advice and direct access to international financial markets. The firm focuses on solutions designed to preserve and grow client wealth through tailored strategies. As a Broker /Dealer member of FINRA and SIPC, Galicia Capital US, LLC operates under strict regulatory standards to help ensure the protection and security of client investments. The company values professionalism, integrity, and a client-centric approach. Additional information about the organization and its services is available on its corporate website.

Role Description

The Compliance Officer is a full-time, on-site role based in Miami, FL, responsible for overseeing and supporting the firm’s adherence to applicable laws, regulations, and internal policies. Day-to-day responsibilities include monitoring regulatory changes, maintaining and updating compliance frameworks and WSPs, conducting internal reviews, and preparing reports for management. The role involves supporting audits and examinations, reviewing client documentation and transactions for compliance risks, and ensuring accurate recordkeeping. The Compliance Officer / Specialist will also assist in developing and delivering compliance training, respond to compliance-related inquiries, and collaborate with internal teams to address potential issues proactively.

Responsibilities

• Monitor and assess regulatory changes and developments that affect the financial brokerage industry
• Update the Written Supervisory Procedures (WSPs) as needed.
• Develop and update compliance policies and procedures to ensure adherence to all applicable laws and regulations
• Ensure compliance with Anti-Money Laundering (AML), Know your Customer (KYC), and other industry-standard requirements.
• Conduct internal audits and inspections to identify potential compliance risks and improve the effectiveness of controls
• Investigate and respond to customer complaints and regulatory inquiries in a timely manner
• Provide guidance and training to employees on compliance-related issues
• Collaborate with other departments to develop and implement strategies to mitigate compliance risks
• Keep abreast of industry best practices and recommend improvements to internal processes and procedures
• Assist on the onboarding of new clients
• AML accounts monitoring
• Maintain accurate records of compliance activities, including audits, regulatory filings, and training records.

Qualifications

• Candidates should possess strong skills in Compliance Management and Regulatory Compliance, including experience implementing and monitoring compliance programs.
• Candidates should possess solid Analytical Skills and Finance knowledge to interpret regulations, analyze data, and assess risk within investment and advisory activities.
• Candidates should possess effective Communication skills to prepare clear reports, policies, and guidance, and to collaborate with regulators, management, and internal teams.
• Relevant experience in broker-dealer within FINRA regulated entities.
• Bachelor’s degree in finance, law, business, or a related field; professional certifications in compliance or securities regulation (e.g., CRCM, CAMS) are a plus.
• Demonstrated attention to detail, integrity, and ability to work independently in a highly regulated and deadline-driven environment.
• Spanish and English command.
• FINRA licenses SIE, Series 7, desirable Series 24 or ability to obtain in the first year

Benefits

• We offer a competitive compensation package together with health, vision, life insurance and short- and long-term disability insurance and 401K with a matching contribution by the firm.