Compliance Specialist

ReKruiting Advisors LLC.; Miami (FL); On-site; USD 60,000 - 80,000; Full time

Job summary

ReKruiting Advisors LLC. is hiring a Compliance Specialist in Miami, Florida. The specialist will support the compliance program and ensure adherence to regulatory frameworks like FINRA and SEC.

The ideal candidate should possess strong organizational skills, be detail-oriented, and have experience with KYC/AML processes. Bilingual in Spanish and English is a plus. Join us to help maintain high compliance standards within a reputable brokerage!

Qualifications

• Super detail-oriented with strong organizational skills.
• Excellent writing capabilities.
• Familiar with KYC/AML and onboarding processes.

Responsibilities

• Support compliance program and regulatory adherence.
• Conduct compliance reviews and transaction monitoring.
• Prepare regulatory filings and updates.

Skills

Detail-oriented

Strong writing skills

KYC/AML knowledge

Excel skills

Screening tools familiarity

Bilingual: Spanish and English

Tools

World-Check

LexisNexis

Actimize

Bridger

Job description

Compliance Specialist

Key Responsibilities

• Support the firm’s compliance program to ensure adherence to applicable FINRA rules, SEC regulations, and internal supervisory procedures.
• Partner with the Compliance team, CEO, and Chief Compliance Officer to assist with day-to-day regulatory and compliance-related activities.
• Help maintain and periodically review the firm’s Written Supervisory Procedures (WSPs) to ensure alignment with regulatory updates and internal risk management practices.
• Conduct compliance reviews of brokerage activities, including transaction monitoring, trade reporting, email and correspondence surveillance, and branch supervisory support.
• Prepare or assist with regulatory filings and updates such as Form BD amendments, U4/U5 filings, FINRA Gateway submissions, and other regulatory disclosures.
• Support operational compliance processes including new account approvals, account maintenance requests, and asset transfers when required.
• Assist with internal audits, mock regulatory examinations, and remediation tracking to ensure readiness for regulatory inspections.
• Review communications, marketing materials, and disclosures to confirm compliance with applicable regulatory and advertising standards.
• Contribute to improvements in supervisory controls, compliance processes, and regulatory technology or surveillance tools.
• Maintain all required FINRA licenses and registrations, including Series 7 and Series 24, necessary to perform compliance functions within a U.S. broker-dealer environment.

Qualifications

• Super detail-oriented + organized.
• Strong writing skills.
• Comfortable with KYC/AML + onboarding workflows (CIP/KYC docs, basic SOF/SOW, ownership/BO concepts).
• Solid Excel/Google Sheets skills.
• Familiarity with screening/case tools (World-Check, LexisNexis, Actimize, Bridger, etc.).
• Spanish and English.