Miami Compliance Specialist - FINRA Regs, AML/KYC

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

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.