Compliance Officer

This position reports directly to the Chief Compliance Officer and works closely with the compliance Latam team.

KEY FUNCTIONS AND RESPONSIBILITIES:

• Conduct compliance reviews to monitor adherence to the policies and procedures established by the Bank to prevent money laundering and terrorist financing, and to ensure compliance with the various regulations applicable to the company
• Collaborate with Compliance Management to oversee our office's adherence to regulations, including those related to the prevention of money laundering and terrorist financing
• Support the Compliance Management in activities and tasks related to the Compliance Area, as authorized or requested by the Compliance Management, Compliance Officer, or General Management.

KEY COMPETENCIES AND SKILLS:

• FINRA Series 7 and 24
• Experience in the broker dealer and RIA environments
• Experience dealing with FINRA and the SEC
• Has worked in a supervisory role in the compliance field.
• Has experience in reviewing and approving marketing materials,
• Knowledge of NetX360, Catalyst, Quest CE, Global Relay
• Manage employee registrations (U4 and U5), trainings and license exams windows.
• Manage Broker Dealer and RIA registrations
• Knowledge of FINRA Rule 15a-6, Chaperoning.
• Experience with Sub-Clearing Agreements
• Proficient in English and Spanish
• Good understanding of data-bases and great technical skills.
• TRACE and CAT knowledge.