Compliance Specialist

Compliance Specialist - Brickell, Miami, FL
Work Arrangement: Full-time, On-site

Position Overview

We are seeking a Compliance Specialist with 3–4 years of relevant experience to support the company’s compliance and regulatory functions. The company is open to training and developing the right candidate.

Key Responsibilities

• Oversee day-to-day compliance, regulatory, and supervisory activities.
• Manage regulatory filings, registrations, and continuing education requirements.
• Conduct and support communications surveillance and compliance monitoring.
• Maintain and strengthen internal controls and compliance processes.
• Prepare, review, and update Written Supervisory Procedures (WSPs) and compliance manuals.
• Monitor compliance with applicable regulatory requirements and internal policies.
• Support regulatory examinations, audits, and related compliance requests.
• Work closely with the existing compliance and regulatory team.

Requirements

• 3–4 years of relevant compliance/regulatory experience.
• Series 7 and Series 24 license  is mandatory.
• Fluent in Spanish and English.
• Strong understanding of broker-dealer compliance and regulatory requirements.
• Experience with WSPs, regulatory filings, surveillance, and internal controls is preferred.
• Strong communication, organizational, and analytical skills.
• Ability to work full-time on-site in Brickell, Miami.