A leading wealth management firm in Miami is looking to add a Compliance Associate to help support the CCO in the maintenance of firmwide state and regulatory compliance.
Title: Compliance Associate
Location: Miami, FL
Salary: $70,000-$80,000
Key Responsibilities:
- Keep to date with industry regulation change (FINRA/SEC) and report to internal stakeholders
- Assist with onboarding documenting, including basic KYC, registrations of new accounts, etc
- Help with regulatory forms and filings
- Support the CCO in drafting and maintaining firm policies and procedures
Key Requirements:
- Bachelor's degree in related field
- Previous regulatory compliance experience in the broker-dealer/RIA space
- Series 7 and 24 (or willingness to obtain upon hire)
