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

c0J1MVZqTVJuTHZCNXk5QXZIS3pZMFYrUmc9PQ==
  • 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

LHH

Merchandising Administrative Assistant- Bilingual German Job at LHH

 ...located in Manhattan, NY, potential candidates must be bilingual in German. Responsibilities: Oversee and manage the entire purchase...  ...and place packaging briefs, ensuring compliance with company standards and requirements. Analyze and report on key performance... 

Partnership for Maternal & Child Health of Northern New Jers...

Bilingual Nurse Home Visitor Job at Partnership for Maternal & Child Health of Northern New Jers...

 ...policies, procedures, guidelines and standards of NFP. Provide home visits to parents eligible for the NFP Programs (low-income, first...  ...CPR required. Minimum 2 years experience in maternal/child health, public health, home visiting or mental/behavioral nursing. Bilingual... 

The Planet Forward

Refinery Safety Program Manager Job at The Planet Forward

 ...Job Summary: The Refinery Safety Program Manager for Turnaround & Capital Projects is responsible for overseeing and managing the safety programs and processes related to refinery maintenance events, turnaround activities, and capital projects. This role involves ensuring... 

Idaho State University

Student Financial Services Operations Manager, Office of Finance (8336) Job at Idaho State University

Student Financial Services Operations Manager, Office of Finance (8336) Pocatello - Main NOT eligible for remote work, on-campus position Priority Date: April 17, 2025 Institution Information Idaho State University, established in 1901, is a Carnegie-classified...

VitalCore Health Strategies

Registered Nurse (RN) Job at VitalCore Health Strategies

 ...leader in Correctional Health Care, has openings for Registered Nurses at Mecklenburg County Detention Center in Charlotte, North...  ...individuals, families, or other groups on topics such as health education, disease prevention, and childbirth as well as develop health improvement...