Broker-Dealer Compliance Specialist

International Erosion Control Association; Miami (FL); On-site; USD 90,000 - 130,000; Full time

Job summary

Zinvest Financial Service, LLC in Miami, FL is seeking a Compliance Officer to support its regulatory program, daily brokerage operations, and supervisory activities. This full-time role reports to the Chief Compliance Officer and requires hands-on broker-dealer compliance experience.

The ideal candidate will have knowledge of FINRA and SEC regulations, strong analysis, and the ability to independently manage day-to-day compliance responsibilities under supervision.

Qualifications

• Bachelor's degree in Finance, Business, Accounting, Law, or related field.
• Minimum 2 years of compliance experience with a FINRA-registered broker-dealer.
• Working knowledge of FINRA and SEC regulations, AML/KYC requirements, and broker-dealer supervisory procedures.
• Practical experience with customer onboarding, compliance monitoring, and regulatory documentation.

Responsibilities

• Review new client onboarding and due diligence documentation.
• Monitor trading activity, surveillance alerts, and regulatory exceptions.
• Maintain and update WSPs and compliance policies; assist with filings/examinations.
• Review advertising and communications for FINRA compliance; monitor employee activities.

Skills

Broker-dealer compliance

FINRA regulations

SEC regulations

KYC/AML knowledge

Regulatory reporting

Education

Bachelor's degree

Job description

Zinvest Financial Service, LLC in Miami, FL is seeking a Compliance Officer to support its regulatory program, daily brokerage operations, and supervisory activities. This full-time role reports to the Chief Compliance Officer and requires hands-on broker-dealer compliance experience.

The ideal candidate will have knowledge of FINRA and SEC regulations, strong analysis, and the ability to independently manage day-to-day compliance responsibilities under supervision.