Hybrid Securities Compliance Principal & Risk Lead

Ocean Bank; Miami (FL); Híbrido; USD 120 000 - 180 000; Tempo integral

Resumo da oferta

Ocean Bank, through its subsidiary Ocean Financial Services (OFS), seeks a General Securities Principal to ensure compliance with FINRA, SEC, and related regulations while promoting sound sales practices and strong internal controls. The role supervises compliance, risk management, and sales practice reviews for registered representatives and investment operations.

The ideal candidate has extensive securities industry experience, strong leadership, and the ability to elevate regulatory

Qualificações

• Associate’s degree is required.
• Five (5) years of experience in the securities industry.
• Minimum of two (2) years in a supervisory role.

Responsabilidades

• Ensure compliance with FINRA, SEC, and other applicable securities regulations.
• Develop, implement, and maintain written supervisory procedures and internal controls.
• Oversee sales practices, trading activity, client interactions, and supervisory reviews for registered representatives.
• Identify and mitigate risks associated with the firm's operations.
• Monitor for suspicious activity and report it to the appropriate authorities.
• Review alerts, blotters, new accounts, orders, and other activity for potential concerns.
• Respond to regulatory inquiries and audits.
• Conduct or support compliance training, branch reviews, inspections, audits, and regulatory responses.
• Partner with Ocean Financial Services and Ocean Bank Compliance teams to strengthen supervisory practices.

Conhecimentos

Securities regulations

Regulatory compliance

Team leadership

Risk assessment

Trading operations

Communication

Analytical thinking

Decision making

Regulatory reporting

Formação académica

Associate’s degree

Bachelor's degree preferred

Descrição da oferta de emprego

Ocean Bank, through its subsidiary Ocean Financial Services (OFS), seeks a General Securities Principal to ensure compliance with FINRA, SEC, and related regulations while promoting sound sales practices and strong internal controls. The role supervises compliance, risk management, and sales practice reviews for registered representatives and investment operations.

The ideal candidate has extensive securities industry experience, strong leadership, and the ability to elevate regulatory