About the Company - I am currently working with a Leading Prop Trading Firm in Miami, and they are looking to hire a Compliance Officer to join their team.
About the Role - Provide compliance guidance and interpret regulations for different business units. Monitor trade activities, ensuring compliance with FINRA, SEC, and exchange rules. Develop and review internal compliance policies and procedures. Respond to regulatory exams and inquiries. Organize compliance training for employees. Collaborate with cross-functional teams (Risk, Finance, IT, etc.) on compliance-related projects.
Responsibilities -
Qualifications - 3-7 years of experience in a regulatory compliance role in financial services or exchanges. Bachelor’s degree.
...work, connect with others, and grow? Text CFA37 to 31063 for an application link! Come be part of our team at our just remodeled Chick-fil-A 1000 6th Ave (at 37th St)! Note: There are several Chick-fil-A's in the area; please ensure you are applying to the correct one...
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