Compliance Specialist

Galicia Capital US, LLC; Miami (FL); On-site; USD 80,000 - 120,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Life insurance

Short-term disability insurance

Long-term disability insurance

401K with matching

Job summary

Galicia Capital US, LLC, a FINRA- and SIPC-regulated broker-dealer, seeks a Compliance Specialist for the Miami, FL office. The role focuses on monitoring regulatory changes, maintaining compliance policies, and supporting audits and examinations. Bilingual English/Spanish capabilities are desired.

The candidate will assist in training, investigation of inquiries, and collaborations with internal teams to mitigate risks while ensuring rigorous recordkeeping and regulatory adherence.

Qualifications

• Experience implementing and monitoring compliance programs.
• Analytical skills to interpret regulations, analyze data and assess risk.
• Effective report writing and clear guidance for regulators, management, and teams.
• FINRA broker-dealer experience and licenses (SIE, Series 7) or ability to obtain in the first year.

Responsibilities

• Monitor and assess regulatory changes affecting the financial brokerage industry.
• Update Written Supervisory Procedures (WSPs) as needed.
• Develop and update compliance policies to ensure adherence to laws and regulations.
• Ensure compliance with AML, KYC, and other industry requirements.
• Conduct internal audits and inspections to identify compliance risks and improve controls.
• Investigate and respond to customer complaints and regulatory inquiries promptly.
• Provide guidance and training to employees on compliance-related issues.
• Collaborate with other departments to mitigate compliance risks.
• Keep abreast of industry best practices and recommend process improvements.
• Assist in onboarding new clients and AML accounts monitoring.
• Maintain accurate records of compliance activities, including audits, filings, and training.

Skills

Compliance management

Regulatory compliance

Analytical skills

Effective communication

FINRA broker-dealer experience

Education

Bachelor’s degree in finance, law, or business

Job description

Company 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 Specialist 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

• 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.