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

UTlBUVVlTEVmcEIza1ZTUE9VekFNMk10dGc9PQ==
  • 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,

Similar Jobs

Premier Golf

Chief Operating Officer Job at Premier Golf

 ...Premier Golf is one of Americas most experienced and trusted golf travel companies. Founded in 1988 and headquartered in Alpharetta, Georgia, we specialise in creating personalised golf travel experiences for individuals, groups, and corporate clients. Whether you're... 

Greenlife Healthcare Staffing

Addiction Psychiatrist Job at Greenlife Healthcare Staffing

 ...Healthcare Staffing is a nationwide recruitment agency, matching both new grads and advanced practitioners to hospitals, clinics, nursing homes, multi-specialty groups, and private practices. If you would like to learn more about other opportunities we offer, please... 

Lensa

Entry Level Scientist - Raw Materials Job at Lensa

 ...marketing partners. Eurofins Scientific is an international life sciences company, providing a unique range of analytical testing...  ...and laboratory services for genomics, discovery pharmacology, forensics, advanced material sciences and in the support of clinical studies... 

aaa

Logistic Manager (Futian District) Job at aaa

 ...responsibilities-Receiving goods from supplier, check the quantity.- preparing documents to ship the goods out- organize shipping out- organize container loading (controll the loading at the warehouse)- double check the documents (packing list)-Provide all the papers to Head... 

Chameleon Integrated Services

HR Specialist Job at Chameleon Integrated Services

 ...Chameleon Integrated Services is currently looking for an HR Specialist to support our internal team. Overview: The HR Specialist...  ...employee experience. Responsibilities: Employee Onboarding Manage onboarding processes to ensure new hires are...