Compliance Officer (Miami, FL)
Monitor new regulatory mandates, rules, and requirements. Develop and maintain written supervisory procedures. Serve as the main point of contact with regulators, auditors, and attorneys. Ensure firm wide adherence to policies and procedures by working with the designated supervisors. Develop procedures to ensure compliance with all continuing education requirements for all registered representatives. Participate in creating a compliance plan and performing an annual compliance risk assessment. Coordinate the Annual Supervisory report and the Annual AML testing with CCO/CEO. Conduct FINRA branch-examinations. Assist the CCO during regulatory examinations (FINRA, SEC, CFTC/NFA). Develop and coordinate supervision of firm external and internal communications policies. Handle FINRA filings (e.g., U4/U5, Form BD). Control the annual Continuing Education Assessment (Firm Element). Review electronic communication, develop and assess systems/vendors analysis. Control employee-related requests and activities such as Outside Business Activities (OBA), conflicts of interest, and personal investments. Requirements:Overview At Saint Clare's Health, our dedicated team of professionals is committed to our core values of quality, compassion,... ...position is accountable for assuming leadership in the area of educational design, planning, implementation and evaluation for Patient Care...
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