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

Della Infotech Inc.

Clinical Research Associate - Immediate Hiring Job at Della Infotech Inc.

 ...Job Description #Urgent Need #Immediate Hiring Job Description: Primary Function of the Position: The Senior Clinical Research Associate will play a key role in proactively helping the conduct of pre-market and post-market clinical studies to ensure... 

Adobe Systems GmbH

Associate Creative Director, Art Job at Adobe Systems GmbH

JOB LEVELP40 EMPLOYEE ROLEIndividual Contributor The Opportunity Join Adobe Studio, our in-house creative agency that develops everything from award-winning advertising and marketing campaigns to inspiring feature films, documentaries, and scroll-stopping social media... 

Biolife Plasma Services

Entry Level Phlebotomist - Evenings Job at Biolife Plasma Services

 ... Because of potential exposure to bloodborne pathogens (risk level 1), 90% of work tasks require prolonged glove wear 1 or more...  ...comprehensive benefits program to include retirement benefits, medical/dental, family leave, disability insurance and more, all in a fast... 

Anytime Fitness, Westchester County NY

Gym Manager Job at Anytime Fitness, Westchester County NY

 ...Job Description Job Description Club Managers, Personal Trainers and Membership Sales Talent! Our growing Anytime Fitness club(s) in Westchester County are adding to the Team the best-of-the-best gym membership managers and certified coaches/trainers. Part time or... 

Freshpoint

CDL B Local Delivery Truck Driver Job at Freshpoint

Job Summary: All drivers run daily routes with frequent stops and are required to load packages onto hand trucks and unload product at each stop on the assigned route in the order they are designated by the Transportation Department Manager. The candidate will operate...