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

MnlRdkh0R0ZWUithc3pqVVZhakxJV1FVd0E9PQ==
  • 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

OneStaff Medical

No experience: Travel Nursing - Operating Room RN Job at OneStaff Medical

 ...OneStaff Medical is seeking a travel nurse RN CVOR for a travel nursing job in Greenville, North Carolina. Job Description & Requirements...  ...based on various factors including but not limited to: experience, demand, availability, location, etc. Please contact one of... 

Gentle Dental

Dental Assistant, EFDA Job at Gentle Dental

 ...At Gentle Dental, we value our teammates smile as much as our patients smile. Our vision is to provide exceptional, lifelong, integrated...  ...community! Schedule: Full-Time Benefits ~ Employee Assistance Program ~ Medical and pharmacy, dental, vision (for employees... 

Dignity Health

Neurosurgery NP or PA Job at Dignity Health

**Overview****Seeking Experienced Neurosurgery Advanced Practice Provider**Dignity Health Medical Group - North State ( is actively seeking a PA or NP with experience in neurosurgery to join our team in Redding, CA. This position encompasses inpatient, outpatient, and... 

Strategic Staffing Solutions

Sr Product Developer Job at Strategic Staffing Solutions

 ...designs, release notes, and other project documentation to support development, security, operations, and maintenance. Iteratively...  ...experience. Hands on experience on with the Power Platform (Power Apps, Power Automate, Power Virtual Agents, Dataverse, PowerBI, etc.... 

BDO USA, LLP

Tax Managing Director, Transfer Pricing (Miami) Job at BDO USA, LLP

 ...Job Summary: The Tax Managing Director, Transfer Pricing collaborates with Principals to lead the national TP practice towards the collective goal of becoming the pre-eminent Transfer Pricing Practice in the U.S. The Tax Managing Director, Transfer Pricing will create...