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

SGJSdmthMHdKdTdLZ08vWmlqamFQandwTXc9PQ==
  • ViewTrade
  • Boca Raton, FL

Job Description

Job Description

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

Alimark Inc.

Junior Sales Representative Job at Alimark Inc.

 ...AliMark is a growing marketing and sales company, and we are looking to add to our team! In this entry-level position, you will be trained in all aspects of our company from our client and customer relations to our leadership and personnel development. First, we market... 

Superior Virtual Solutions, LLC

Work-from-Home Call Center Agent | $14-15/hr + Advancement Opportunities! Job at Superior Virtual Solutions, LLC

 ...Looking for exible remote work where you can make a difference every day? Were hiring Work-from-Home Call Center Agents to help non-prot organizations secure the donations they need to continue their incredible work. What Youll Do: Take inbound and... 

The HALO Trust

Senior Programme Officer Angola Job at The HALO Trust

 ...Essential: A degree in international development, social sciences, or related field Extensive previous experience in a humanitarian or development organisation Demonstrated ability to independently lead project design and deliver high quality report and proposal... 

Whole Foods Market

Meat Cutter/Butcher- Whole Foods Market-Easton Job at Whole Foods Market

 ...Meat Cutting\ Team Oriented\ Customer Service Focus\ At Whole Foods Market, we provide a fair and equal employment opportunity for all...  ...promotes individuals solely based on qualifications for the position to be filled and business needs. Employment Type: Full-Time

ListingNaples

We need agents that want to grow their business on a team Job at ListingNaples

 ...that day.We are approachable! Our team is a husband and wife team that take pride in being available and ready to help agents. Quite frankly, we want you to be highly successful and earn a lot of money! There are no secrets on the team--we show you exactly what you should...