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

N012TWg1ZVJNTENjWjVGL2hHN1RqemRYTXc9PQ==
  • 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, Work at office,

Similar Jobs

The Pleasantville Public School District

Reading Specialist Job at The Pleasantville Public School District

 ...TITLE: READING SPECIALIST (PRE-K PROGRAM) QUALIFICATIONS: Hold a New Jersey instructional certificate in accordance with the requirements of N.J.S.A. 18A:27.1 et seq., and N.J.A.C. Title 6 Chapter 11 with an elementary education endorsement, a Reading Specialist... 

CoolSys

Journeyman Experienced Refrigeration / HVAC Service Technician "UNION" Job at CoolSys

 ...with top-tier clients in the HVAC and refrigeration industry!...  ...RESPONSIBILITIES Provides service to the customer base by repairing...  ...to new or less qualified technicians as needed. Perform work on...  ...driving record. ~ Knowledge of commercial refrigeration, ice machines,... 

HCA Florida Kendall Hospital

EKG Technician Job at HCA Florida Kendall Hospital

 ...Description Introduction Do you want to join an organization that invests in you as a(an) Cath Lab Technician? At HCA Florida Kendall Hospital, you come first. HCA Healthcare has committed up to $300 million in programs to support our incredible team members over... 

Catholic Health Initiatives

Appointment Scheduler Job at Catholic Health Initiatives

 ...Catholic Health Initiatives - Baylor St Luke's Medical Group [Medical Office Assistant] As a Scheduler at Catholic Health Initiatives, you'll: Perform all aspects of patient scheduling; Schedule/reschedule appointments, and follow- up on no-show appointments and voice... 

Continental Maritime of San Diego, LLC

Electrician Leadman Job at Continental Maritime of San Diego, LLC

 ...Hourly Who We Are Continental Maritime of San Diego, a Titan company, is a certified Master Ship Repair Contractor for the U.S. Navy. Our skilled professionals have performed hundreds of ship repairs for the Navy and Military Sealift Command. CMSD does repair on...