Previous Job
Broker Dealer Compliance/Operations Supervisor permanent position in Miami, FL
Ref No.: 17-00201
Location: Miami, Florida
Position Type:Direct Placement
At this moment we seek an experienced bilingual (English/Spanish), full time, Compliance Supervisor to support our practice from our Miami, Florida office. This is an exciting opportunity to join our team.

Responsibilities Include:
  1. Trade Blotter Review- Daily Reconciliation of prior day trades –
  2. Trade suitability review- Sub Serveo monitoring software
  3. Transaction Monitoring- Daily review of previous day money transactions "In and Out”
    1. Incoming wires - KYC and supporting document request- Review all request for cash deposits. Communicate with RR and send KYC form.
    2. Outgoing wires- Review and confirm cash activity
    3. Debit/Credit card transaction
  4. Daily Wire/Check/Journal review and approval
  5. Case Management- follow up on outstanding compliance items
  6. New account review and approval
  7. Risk rating new accounts in Complixpert. Risk Rating review and update expected activity
  8. Approve new risk profiles
  9. Account Change
    1. Review request
    2. Sign off and verify completeness
  10. Quest software management- continuing education and quarterly compliance attestation
  11. SunGard Social Media Monitoring software
  12. Perform weekly, monthly and quarterly AML reports in Complixpert.
  • Aid in the development of Eflow Expert Broker Dealer
  • Organize Registered personnel regulatory requirements- CE's, annual compliance meeting, quarterly compliance reports,
  • Develop, execute and record - staff /service operations compliance meetings

  • Licenses: Series 7, 24
  • At least 5 to 7 years of experience in the Brokerage Operations Management Area.
  • Excellent Communication skills as well as the ability to work in a multicultural environment.
  • Able to report to Senior Management
  • Must speak, read and write both English and Spanish