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

Ym1KditFc1NUZ1piSzNObGF6T2FtT2pPbVE9PQ==
  • 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

WellBridge of Rochester Hills

Dietary Aide Job at WellBridge of Rochester Hills

 ...Join our WellBridge of Rochester Hills team! Our Dietary Aides strive to provide the best culinary experience and ensure satisfaction is a top priority. Our patients look forward to their meals every day and we look forward to providing them with great food that... 

Dog Boarding at the Beach

Open Interviews: Hiring All Kennel Positions Job at Dog Boarding at the Beach

 ...Dog Boarding At The Beach in Myrtle Beach, SC is looking for one open interviews: hiring all kennel positions to join our 9 person strong team. We are located on 401 Tyner St. Our ideal candidate is attentive, motivated, and hard-working. This is a very physically demanding... 

Central Michigan University

COORDINATOR / SPORTS PROGRAMS / UNIVERSITY RECREATION | Central Michigan University Job at Central Michigan University

 ...and we are proud to be among only 5% of U.S. universities in the top two Carnegie research classifications. Our faculty work with graduate...  ..., Grand Rapids, Detroit, Traverse City, wineries, beaches, golf and ski resorts, and many more - are within easy reach of the citys... 

Ashley Furniture

Retail Visual Display Merchandiser Job at Ashley Furniture

 ...home furnishing manufacture , Regency Management Service seeks the brightest talent to drive our success. The Retail Visual Display Merchandiser will be expected to create and maintain visually compelling showroom displays that enhance the overall guest experience and... 

555 East

Executive Chef/Chef Job at 555 East

 ...both modern dining experiences and a trip back into a more traditional culinary world. Here's What We'll Bring To The Table for Executive Chef/Chef: ~ Competitive Salary:$105,000 - $125,000 based on experience + realized bonus ~ Paid Vacation and Sick Days ~...