Compliance Officer at Larson Maddox Miami, FL

Larson Maddox; Miami (FL); On-site; USD 65,000 - 95,000; Full time

Job summary

Larson Maddox in Miami, FL is seeking a Compliance Analyst to manage day-to-day compliance operations for the US office and assist with regulatory filings. You will support the Central Monitoring team in London and provide guidance on pre- and post-trade reviews, policies, and monitoring processes.

The role offers training in the London office, potential to obtain FINRA licensing, and a path to onsite supervisory responsibilities.

Qualifications

• Understanding of SEC rules related to the 1940 Act and regulatory filings.
• Familiarity with SEC marketing rules and review processes.
• 1-4 years of experience in compliance, operations, or related financial services.
• Bachelor's degree from an accredited university or equivalent.

Responsibilities

• Manage day-to-day Compliance operations for the US office.
• Assist with Compliance Monitoring for the Central Monitoring team in London.
• Provide guidance on pre and post-trade Investment Compliance queries.
• Support US and Canadian regulatory filings.
• Collaborate with the broader Compliance team on various Compliance matters.
• Advise on existing US regulations and implement new ones.
• Draft, review, and maintain policies.
• Assist in AML/KYC reviews.
• Opportunity for training in the London office.
• Potential to obtain FINRA licensing and serve as an onsite Supervisory Principal.

Skills

SEC regulations understanding

Regulatory filings familiarity

1-4 years experience in compliance

Education

Bachelor's degree from an accredited university

Job description

Compliance Officer job at Larson Maddox. Miami, FL.

Compliance Analyst Responsibilities:

• Manage day-to-day Compliance operations for the US office.
• Assist with Compliance Monitoring for the Central Monitoring team in London.
• Provide guidance on pre and post-trade Investment Compliance queries.
• Support US and Canadian regulatory filings.
• Collaborate with the broader Compliance team on various Compliance matters.
• Advise on existing US regulations and implement new ones.
• Draft, review, and maintain policies.
• Assist in AML/KYC reviews.
• Opportunity for training in the London office.
• Potential to obtain FINRA licensing and serve as an onsite Supervisory Principal.

Compliance Analyst Qualifications:

• Understanding of SEC rules related to the 1940 Act and regulatory filings.
• Familiarity with SEC marketing rules and review processes.
• 1-4 years of experience in compliance, operations, or related financial services.
• Bachelor's degree from an accredited university or equivalent.

Desired, but not essential:

• Interest in obtaining FINRA licensing (Series 7 and 24).
• Understanding of various investment vehicle types.
• Experience with equity strategies and ERISA Compliance.
• Familiarity with Investment Compliance and guideline monitoring