Brokerage firm - FINRA Licensed Compliance Associate Job at ViewTrade, Boca Raton, FL

amlyTXFnV3RXQWU3VFhKenB6YTNKQmpraUE9PQ==
  • ViewTrade
  • Boca Raton, FL

Job Description

ViewTrade Securities is currently looking for a licensed Compliance Associate for our Boca Raton, FL office.

 

We are seeking full time candidates with 5+ years of experience in the brokerage industry with a Series 24 License.

 

Must possess strong professional communication skills; with the ability to develop positive working relationships and provide excellent customer support for both our national and international clients. Must be team oriented and work well under pressure, capable of working with multiple systems, must have high attention to detail, the ability to process work accurately and meet deadlines, ability to work independently and think critically exercising good judgment, excellent problem resolution, organizational, and follow-up skills are a must, and the ability to embrace change and work in a fast-paced environment. In our firm compliance and operations work together as one, therefore knowledge on the operations side is preferred.

 

Duties include, but not limited to:

  • Assist the CCO and perform daily compliance duties like FINCEN reports, MIS Alerts, activity letters, account approval, incoming and outgoing fund transfers, incoming ACAT review, DTC, DRS, DWAC transfers.
  • Register/deregister new/old employees in the CRD and FINRA systems and process all related documentation.
  • Keeping track and assisting in the annual compliance meetings if needed.
  • Help collecting documentation and data for regulator’s requests.
  • Assist clients and different departments with questions.
  • Help and participate in projects when needed with the operations team.
  • Help with reviewing daily compliance reports if needed.
  • Perform other duties as assigned or required.

 

At ViewTrade you will have a competitive salary, excellent benefit packages which include Health, Dental, Vision, Life Insurance and 401K Plan with employer match and paid time off.

Job Tags

Full time, Work at office,

Similar Jobs

Randstad USA

Staffing Manager Job at Randstad USA

 ...Randstad, the world's leading talent company, is hiring Staffing Managers to sell our services and recruit candidates for placement with our clients. Did you catch that? We find opportunities to help people thrive and provide for their families. It is a big job! Our Staffing... 

CyberCoders

Project Manager Job at CyberCoders

 ...Job Description Job Description Project Manager Project Manager - Commercial Doors Position Overview We are seeking a skilled Project Manager to oversee and coordinate our projects related to Division 8, specifically in the areas of commercial doors and hardware... 

BOEING

Senior Systems Administrator Job at BOEING

 ...support computing architectures. They provide technical support, oversee system performance monitoring, capacity planning, and disaster recovery efforts while ensuring compliance with security standards. Additionally, they mentor team members and coordinate system... 

Perfect Venue

Recruiter Job at Perfect Venue

 ...Us Private events and catering can significantly increase restaurant and event space revenue, but many venues are stuck using outdated...  ...event services (DJs, florists, etc). As the Founding Recruiter at Perfect Venue , you will play a pivotal role in building the... 

UPMC - Pittsburgh Medical Center

PA or CRNP, Emergency Medicine - Toxicology - Casual Job at UPMC - Pittsburgh Medical Center

 ...University of Pittsburgh Physicians is hiring a casual Physician Assistant or Nurse Practitioner to support the Emergency Medicine - Toxicology department. Hours: 8:00am-4:00pm Location: UPMC Mercy Position Specifics: Toxicology, addiction medicine, psychiatry,...