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

VE1OTWlvbkt0c1RtN09PUjcwa2FvMmxXY0E9PQ==
  • ViewTrade
  • Boca Raton, FL

Job Description

Job Description

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,

Similar Jobs

SelecSource

Material Handler/ Double pallet jack experience Job at SelecSource

 ...We are looking for Material handlers with Double Pallet jack experience for second shift in the Ellabell area. Picking and packing by hand or with Double Pallet Jack Loading and unloading by hand or with equipment Staging Housekeeping First week (6:00pm... 

Slumberland Furniture

Warehouse Worker II Job at Slumberland Furniture

 ...and support. We share the common goal of providing an exceptional customer experience and quality furniture for a great price! Warehouse Worker II Highlights: ~ Starting at $18.00 per hour. ~ Up to 3 weeks of paid time off in your first year, plus 24 hours of PTO... 

Analytic Services Inc.

Physical Security Specialist Job at Analytic Services Inc.

ANSER enhances national and homeland security by strengthening public institutions. We provide thought leadership for complex...  ...Position Overview:Analytic Services Inc. (ANSER) is seeking a Physical Security Specialist to help optimize operations that span the entire... 

Collin Tsai Dds Inc

Dental Assistant Job at Collin Tsai Dds Inc

 ...Description Job Description Esthetic Partners Dental Group is seeking a Full-Time Dental Assistant/Sterilizer for general dentistry approximately...  ...with 1 Saturday a months. Will Train; No Dental Experience Needed Needs to have a positive attitude, great... 

DAVITA

Registered Nurse Job at DAVITA

 ...Posting Date 07/21/2025601 North 99th STSTE 100,Wauwatosa,Wisconsin,53226-4362,United States of America DaVita is hiring a Registered Nurse to give life to dialysis patients! Dialysis Experience is NOT required. ***$10,000 bonus for eligible hires.***...