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

Diverse Lynx

Azure Databricks Engineer Job at Diverse Lynx

 ...Experience in ingesting data from different Sources using in Azure ADF Experience in transforming the data using Azure Databricks & Delta lake and Pyspark Experience in Azure DevOps CI/CD - Stories, Bugs, and Issue management Implement Integration solution... 

NavyRec Station Chico

US Navy Sailor Job at NavyRec Station Chico

 ...PAY? *Are YOU ready to live a life worth talking about? *Do YOU have what it takes to be a part of the World's finest Navy? Some of the Benefits are (but not limited to..): ~Free College and Vocational training. ~30 days Paid Vacation each year... 

Koita Agency

B2B Account Manager - Tech Sales - High Commissions, Flexible Schedule (Hybrid) Job at Koita Agency

 ...B2B Account Manager - Tech Sales - High Commissions, Flexible Schedule (Hybrid) About Koita Agency: Join Koita Agency and elevate your career with top-tier sales training and growth opportunities. We specialize in direct sales, offering comprehensive training... 

Fidelis Care - New Jersey

Care Manager (RN) Hudson and/or Bergen County NJ Job at Fidelis Care - New Jersey

 ...Job Description You could be the one who changes everything for our 28 million members. Centene is transforming the health of our communities, one person at a time. As a diversified, national organization, youll have access to competitive benefits including a fresh... 

Research Medical Center

Student Nurse Externship - Multiple Departments Job at Research Medical Center

 ...Description Introduction Do you want to be appreciated daily? Our nurses are celebrated for being on the front line, empathetic for...  ...any other healthcare provider. We are seeking a(an) Nursing Student to join our healthcare family in a learning and engaged...