You haven't searched anything yet.
The Senior Compliance Associate, Advisory, has the responsibility of performing tasks related to the development of policies and procedures, assisting in internal and external audits, the filing of the required documentation under SEC regulations and other compliance related tasks. Works with the department leader in the development of reports and communicates any regulatory changes or updates to the corresponding internal or external bodies.
Job Responsibilities/Main Functions
Policies and Procedures
Multi-Custodian
Regulatory and External Audits
Job Requirements (Education, Experience, Skills, and Capabilities)
Full Time
$79k-99k (estimate)
07/01/2024
07/14/2024
insigneo.com
MIAMI, FL
<25
1985
VICTOR HENRIQUEZ
$5M - $10M
Securities
Insigneo is a financial services firm headquartered in Miami, FL. We are a FINRA Registered Broker/Deal and Registered Investment Advisor. We run a first-class investment platform for Independent Financial Advisors serving the needs of non-US clients. We also service non-US focused RIAs, MFOs and Wealth Management firms. We promote a culture of share values with smart controls, strong due-diligence and continuous innovation. We are committed to deliver a simpler user experience to FAs and end-clients and to be a friendlier and more approachable investment firm. Insigneo and its predecessor com...panies have been in business since 1985.
More
Show less