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  US Brokerage Compliance Officer
 
  Company Type: Financial Services
  Location: Miami, FL
  Compensation: Competitive Salary & Excellent Benefits
  Languages: Fully bilingual English/Spanish
  Job Code: ac/1160
  Date Posted: Completed
  Description:
 
  • Oversee all US brokerage operations to ensure company compliance with SEC, NASD, MSRB and other Self Regulatory Organization (SRO) rules and regulations.
  • Manage the overall compliance program for US brokerage activities. This includes surveillance, sales practice review, trading activities, customer complaints, ensuring margin requirements are adhered to, option account supervision, advertising supervision, Chinese wall issues and other operational matters. Review practices and procedures of local brokerage operations in Latin America.
  • Create a brokerage compliance-training program and manage the Continuing Education program (both Regulatory and Firm elements) as required under SEC and NASD rules.
  • Monitor and audit the compliance practices of all personnel in accordance with the company policies.
  • Create a disciplinary procedure to enforce the required brokerage compliance practices the company has set forth. Establish an internal investigation procedure and sanctions.
  • Execute and assume responsibility of a designated NASD series 24 Compliance Principal as defined in the firm's Written Supervisory Procedures. Act as the firm's Compliance Registered Options Principal (CROP) and ensure compliance with NASD option accounts rules.
  Requirements:
 
  • Undergraduate degree required. Law or postgraduate degree and international banking/brokerage experience is preferred but not required.
  • NASD Series 4, 7, 24,and 66 licenses.
  • Knowledgeable in the area of online brokerage services.
  • Diversified background including experience with surveillance, sales practices, trading, customer complaints, margin, options, and brokerage operations.
  • Experience with cross-border issues in Latin America, particularly in the securities and banking area.
  • Excellent written and oral communications abilities
  • Ability to exact thoroughness from self and within the Compliance Department
  • Proficiency in Spanish.
  • Three years of direct regulatory and/or corporate compliance experience.
  • International banking and brokerage operations experience a plus.
  • NASD Series 27 or Series 28 a plus.


  Cover Letter: Please include cover letter with salary requirements when responding.

  Work Authorization: Must have legal residency.
  For consideration include resume as a Microsoft Word attachment or as text and submit to Ana Callava and reference the job title and reference number.
 
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Last modified November 8th, 2000