Brokerage firm - FINRA Licensed Compliance Associate

Viewsoft Srl; Boca Raton (FL); On-site; USD 85,000 - 120,000; Full time

Benefits offered by this job

Health insurance

Dental

Vision

Life Insurance

401K Plan with employer match

Paid time off

Job summary

ViewTrade Securities is seeking a licensed Compliance Associate for our Boca Raton, FL office. The role requires 5+ years in the brokerage industry and a Series 24 license, with strong communication and client support skills for national and international clients.

Duties include assisting the CCO with daily compliance tasks, managing registrations in CRD/FINRA, funds transfers, regulator data requests, and collaboration with operations to meet deadlines in a fast-paced environment.

Qualifications

• 5+ years of experience in the brokerage industry.
• Active Series 24 license is required.
• Licensed Compliance Associate with strong regulatory knowledge.

Responsibilities

• Support the CCO and perform daily compliance tasks such as FINCEN reports and MIS alerts.
• Process account approvals and fund transfers, including ACAT reviews.
• Register/deregister employees in CRD and FINRA systems; handle related docs.
• Assist with regulator requests and data collection.
• Support clients and internal departments with compliance questions.
• Participate in projects with operations team.
• Review daily compliance reports and maintain accuracy.
• Perform other duties as assigned.

Job description

ViewTrade Securities is currently looking for a licensed Compliance Associate for our Boca Raton, FL office.

We are seeking full time candidates with 5+ years of experience in the brokerage industry with a Series 24 License.

Must possess strong professional communication skills; with the ability to develop positive working relationships and provide excellent customer support for both our national and international clients. Must be team oriented and work well under pressure, capable of working with multiple systems, must have high attention to detail, the ability to process work accurately and meet deadlines, ability to work independently and think critically exercising good judgment, excellent problem resolution, organizational, and follow-up skills are a must, and the ability to embrace change and work in a fast-paced environment. In our firm compliance and operations work together as one, therefore knowledge on the operations side is preferred.

Duties include, but not limited to:

• Assist the CCO and perform daily compliance duties like FINCEN reports, MIS Alerts, activity letters, account approval, incoming and outgoing fund transfers, incoming ACAT review, DTC, DRS, DWAC transfers.
• Register/deregister new/old employees in the CRD and FINRA systems and process all related documentation.
• Keeping track and assisting in the annual compliance meetings if needed.
• Help collecting documentation and data for regulator’s requests.
• Assist clients and different departments with questions.
• Help and participate in projects when needed with the operations team.
• Help with reviewing daily compliance reports if needed.
• Perform other duties as assigned or required.

At ViewTrade you will have a competitive salary, excellent benefit packages which include Health, Dental, Vision, Life Insurance and 401K Plan with employer match and paid time off.

• competitive salary
• Health
• Dental
• Vision
• Life Insurance
• 401K Plan with employer match
• paid time off