Chief Compliance Officer- Ria

```Duties```
- Develop and implement compliance programs and policies to ensure adherence to regulatory requirements and industry standards
- Conduct regular audits and reviews to assess compliance with internal policies and external regulations
- Monitor changes in laws and regulations that may impact the organization's compliance obligations
- Investigate and resolve compliance issues, including conducting internal investigations and recommending corrective actions
- Provide guidance and training to employees on compliance matters
- Collaborate with cross-functional teams to ensure compliance requirements are integrated into business processes
- Prepare and submit reports to regulatory agencies as required

```Qualifications```
- Bachelor's degree in accounting, finance, or a related field
- Series 7 and 24
- Knowledge of compliance management frameworks and best practices
- Understanding of Generally Accepted Auditing Standards (GAAS) and internal control frameworks
- Excellent analytical skills with the ability to identify risks and recommend appropriate controls
- Strong communication skills with the ability to effectively communicate complex compliance issues to stakeholders at all levels
- Proficient in Microsoft Office Suite, particularly Excel for data analysis

Note: This job description is intended to provide a general overview of the position. Duties, responsibilities, and qualifications may be adjusted based on the needs of the organization.

Please submit your resume highlighting relevant experience in compliance management. Only qualified candidates will be contacted for further consideration.

Job Type: Full-time

Pay: $130,000.00 - $155,000.00 per year

Benefits:

401(k)

Dental insurance

Health insurance

Schedule:

8 hour shift

Monday to Friday

Experience:

Compliance Officer-Securities: 6 years (Required)

Ability to Commute:

Miami, FL 33129 (Required)

Work Location: Hybrid remote in Miami, FL 33129

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