Compliance Specialist
Key Responsibilities
- Support the firm’s compliance program to ensure adherence to applicable FINRA rules, SEC regulations, and internal supervisory procedures.
- Partner with the Compliance team, CEO, and Chief Compliance Officer to assist with day-to-day regulatory and compliance-related activities.
- Help maintain and periodically review the firm’s Written Supervisory Procedures (WSPs) to ensure alignment with regulatory updates and internal risk management practices.
- Conduct compliance reviews of brokerage activities, including transaction monitoring, trade reporting, email and correspondence surveillance, and branch supervisory support.
- Prepare or assist with regulatory filings and updates such as Form BD amendments, U4/U5 filings, FINRA Gateway submissions, and other regulatory disclosures.
- Support operational compliance processes including new account approvals, account maintenance requests, and asset transfers when required.
- Assist with internal audits, mock regulatory examinations, and remediation tracking to ensure readiness for regulatory inspections.
- Review communications, marketing materials, and disclosures to confirm compliance with applicable regulatory and advertising standards.
- Contribute to improvements in supervisory controls, compliance processes, and regulatory technology or surveillance tools.
- Maintain all required FINRA licenses and registrations, including Series 7 and Series 24, necessary to perform compliance functions within a U.S. broker-dealer environment.
Qualifications
- Super detail-oriented + organized.
- Strong writing skills.
- Comfortable with KYC/AML + onboarding workflows (CIP/KYC docs, basic SOF/SOW, ownership/BO concepts).
- Solid Excel/Google Sheets skills.
- Familiarity with screening/case tools (World-Check, LexisNexis, Actimize, Bridger, etc.).
- Spanish and English.