COMPLIANCE COORDINATOR
job description

The Compliance Coordinator assists Compliance Officer in providing regulatory services to the other firms in the investment industry, helping businesses by ensuring that a company’s operations and its employees adhere to the laws that regulate its industry. They provide audit information to management by researching and analyzing data, preparing reports, conducting risk assessments, and enforcing corrective action where necessary.

DUTIES/RESPONSIBILITIES


Compliance Coordinator assists Compliance Officer in providing regulatory services to the other firms in the investment industry.

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  • Supporting consultants during on-site and off-site mock SEC/FINRA examinations,
    compliance program reviews, and other consulting engagements;

  • Preparing preliminary drafts of reports, matrices, policies and procedures, and other written client deliverables;

  • Maintaining internal knowledge resources, such as databases of inspection report comments;

  • Assisting the firm in creating and submitting appropriate state, SEC, and FINRA regulatory filings;

  • Researching novel or complex compliance issues;

  • Performing email surveillance reviews;

  • Participating in professional development activities;

  • Performing other ad-hoc work/special projects as necessary to support the firm on various internal initiatives.

KNOWLEDGE/SKILLS/ABILITIES

  • Willing to take Series 7 and series 24. If you already have it, will be a plus;

  • Demonstrates professional integrity;

  • Dependable, flexible and adaptable;

  • Ability to work well in a fast-paced, small team environment;

  • Must be able to work independently, multi-task and prioritize effectively;

  • Strong organizational and problem-solving skills with attention to detail;

  • Highly motivated and goal-oriented, proactive;

  • Strong analytical skills with the ability to exercise discretion and make independent;

  • Judgments on matters of significance topics;

  • Excellent verbal and written communication skills (English);

  • Bachelor’s degree from an accredited college or university;

  • Three years of experience (or equivalent combination of education and related experience);

  • Fluency in Portuguese and English.

Permanent | Full-time position

 

Location: Coconut Grove, Miami - FL

CONTACT US

2200 N Commerce Pkwy | Suite 200

Weston FL - 33326 

(954) 374-9664

harpy@harpyhr.com

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