Compliance Officer at Larson Maddox Miami, FL

Compliance Analyst Responsibilities: Manage day-to-day Compliance operations for the US office. Assist with Compliance Monitoring for the Central Monitoring team in London. Provide guidance on pre and post-trade Investment Compliance queries. Support US and Canadian regulatory filings. Collaborate with the broader Compliance team on various Compliance matters. Advise on existing US regulations and implement new ones. Draft, review, and maintain policies. Assist in AML/KYC reviews. Opportunity for training in the London office. Potential to obtain FINRA licensing and serve as an onsite Supervisory Principal.

Compliance Analyst Qualifications: Understanding of SEC rules related to the 1940 Act and regulatory filings. Familiarity with SEC marketing rules and review processes. 1-4 years of experience in compliance, operations, or related financial services. Bachelor's degree from an accredited university or equivalent. Desired, but not essential: Interest in obtaining FINRA licensing (Series 7 and 24). Understanding of various investment vehicle types. Experience with equity strategies and ERISA Compliance. Familiarity with Investment Compliance and guideline monitoring