Compliance Specialist

Job Description

Job Description

COMPLIANCE OFFICER / SPECIALISTLocation: Miami, FL(On-site)
Company Description

A leading financial services firm and fully owned subsidiary of a global financial group connects individuals and businesses with global investment opportunities, offering personalized advice and direct access to international financial markets. The firm focuses on solutions designed to preserve and grow client wealth through tailored strategies.

As a Broker/Dealer member of FINRA and SIPC , the company operates under strict regulatory standards to help ensure the protection and security of client investments. The company values professionalism, integrity, and a client-centric approach.

Role Description

The Compliance Officer / Specialist is a full-time, on-site role based in Miami, FL , responsible for overseeing and supporting the firm's adherence to applicable laws, regulations, and internal policies.

Day-to-day responsibilities include monitoring regulatory changes, maintaining and updating compliance frameworks and Written Supervisory Procedures (WSPs) , conducting internal reviews, and preparing reports for management.

The role involves supporting audits and examinations, reviewing client documentation and transactions for compliance risks, and ensuring accurate recordkeeping. The Compliance Officer / Specialist will also assist in developing and delivering compliance training, respond to compliance-related inquiries, and collaborate with internal teams to address potential issues proactively.

Responsibilities

• Monitor and assess regulatory changes and developments that affect the financial brokerage industry

• Update the Written Supervisory Procedures (WSPs) as needed

• Develop and update compliance policies and procedures to ensure adherence to all applicable laws and regulations

• Ensure compliance with Anti-Money Laundering (AML), Know Your Customer (KYC), and other industry-standard requirements

• Conduct internal audits and inspections to identify potential compliance risks and improve the effectiveness of controls

• Investigate and respond to customer complaints and regulatory inquiries in a timely manner

• Provide guidance and training to employees on compliance-related issues

• Collaborate with other departments to develop and implement strategies to mitigate compliance risks

• Keep abreast of industry best practices and recommend improvements to internal processes and procedures

• Assist with the onboarding of new clients

• Conduct AML account monitoring

• Maintain accurate records of compliance activities, including audits, regulatory filings, and training records

Qualifications

• Strong skills in Compliance Management and Regulatory Compliance, including experience implementing and monitoring compliance programs

• Solid analytical skills and finance knowledge to interpret regulations, analyze data, and assess risk within investment and advisory activities

• Effective communication skills to prepare clear reports, policies, and guidance, and to collaborate with regulators, management, and internal teams

• Relevant experience in a broker-dealer within FINRA-regulated entities

• Bachelor's degree in Finance, Law, Business, or a related field

• Professional certifications in compliance or securities regulation, such as CRCM or CAMS , are a plus

• Demonstrated attention to detail, integrity, and ability to work independently in a highly regulated and deadline-driven environment

• Fluency in Spanish and English

• FINRA licenses: SIE and Series 7

• Series 24 is desirable, or the ability to obtain it within the first year

Benefits

The company offers a competitive compensation package together with:

• Health insurance

• Vision insurance

• Life insurance

• Short- and long-term disability insurance

• 401(k) with a matching contribution by the firm

\nCompany Description

W3Global was established in 2006 in Fremont, CA with a vision: simplify the recruiting process and develop an industry-disrupting platform to connect candidates with clients. Our cutting-edge Applicant Tracking System enables us to find the right person for the right job, creating value for job seekers and employers. While W3Global initially focused on IT staffing, we have expanded the business to serve many other industries, including accounting and finance, legal, engineering, human resources, government and more.

We’re proud of the investments we’ve made in our team, having grown from four to 1000 employees and evolving into one of the leading recruitment and staffing solution providers in the industry. Our recruiters and account managers are passionate about connecting qualified professionals with the right positions in small, medium, and large companies.

Our Services
W3Global understands the natural ups and downs of an organization’s staffing needs. We are continuously adapting to industry and economic changes to find the right candidates.

We specialize in placing permanent, direct, contract, and temporary positions for companies of any size. Our recruiting services include sourcing, recruiting, screening, interview management, salary negotiations, training, and onboarding.

We are committed to helping organizations redefine their recruitment process by delivering our SaaS-based proprietary application tracking system software.

Our Expertise
W3Global has been delivering staffing solutions for nearly two decades; we know which recruiting strategies work best. Our expert team is committed to developing a customized solution to fit your company’s unique needs.

As a W3Global client, you’ll also receive personalized assistance from a seasoned team of staffing specialists. We are committed to providing both technical support and industry expertise to simplify the hiring process. We know that your time matters. W3Global will help you streamline the hiring process, getting it done and getting it right.

Company Description

W3Global was established in 2006 in Fremont, CA with a vision: simplify the recruiting process and develop an industry-disrupting platform to connect candidates with clients. Our cutting-edge Applicant Tracking System enables us to find the right person for the right job, creating value for job seekers and employers. While W3Global initially focused on IT staffing, we have expanded the business to serve many other industries, including accounting and finance, legal, engineering, human resources, government and more.\r\n\r\nWe’re proud of the investments we’ve made in our team, having grown from four to 1000 employees and evolving into one of the leading recruitment and staffing solution providers in the industry. Our recruiters and account managers are passionate about connecting qualified professionals with the right positions in small, medium, and large companies.\r\n\r\nOur Services\r\nW3Global understands the natural ups and downs of an organization’s staffing needs. We are continuously adapting to industry and economic changes to find the right candidates.\r\n\r\nWe specialize in placing permanent, direct, contract, and temporary positions for companies of any size. Our recruiting services include sourcing, recruiting, screening, interview management, salary negotiations, training, and onboarding.\r\n\r\nWe are committed to helping organizations redefine their recruitment process by delivering our SaaS-based proprietary application tracking system software.\r\n\r\nOur Expertise\r\nW3Global has been delivering staffing solutions for nearly two decades; we know which recruiting strategies work best. Our expert team is committed to developing a customized solution to fit your company’s unique needs.\r\n\r\nAs a W3Global client, you’ll also receive personalized assistance from a seasoned team of staffing specialists. We are committed to providing both technical support and industry expertise to simplify the hiring process. We know that your time matters. W3Global will help you streamline the hiring process, getting it done and getting it right.