Broker-Dealer Compliance Officer (FINRA & AML/KYC)
Galicia Capital
Galicia Capital US, LLC, a FINRA/SIPC member, seeks a Compliance Officer in Miami to oversee regulatory adherence and internal policies. You will monitor changes, maintain WSPs, develop policies, and support audits. The role requires strong analytical and communication skills and broker-dealer experience. Responsibilities include reviews of client documentation, assisting onboarding, and ensuring accurate recordkeeping, with training delivered to staff and collaboration across departments. #J-18808-Ljbffr Galicia Capital
Vacancy posted 1 day ago
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