Broker Dealer Compliance Officer

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• Help develop and implement compliance policies and procedures for the US broker dealer business based upon regulatory requirements, industry practices and established internal controls.
• Ensure that all required documentation is properly provided to the regulatory authorities and maintained by the Company.
• Conduct oversight, testing and remediation in accordance with FINRA Rule 3012.
• Identify gaps or risk exposures in operations and implement all necessary checks-and-balances and risk assessment reviews including internal audits and automated surveillance/monitoring programs.
• Perform daily, weekly, monthly, quarterly, and annual compliance reviews (including transaction reviews).
• Provide training and advice to the Company’s employees and management regarding applicable securities rules, regulations, and firm policies.
• Effectively analyze situations and apply experience and judgment to resolve issues in a timely manner.
• Identify any new or updated regulatory requirements that may lead to changed policies.
• Liaise with the Front Office, Compliance, Legal and other departments regarding internal Group policies and issues.

• Bachelor’s degree or equivalent work experience required.
• 3+ years of compliance experience.
• FINRA Series 7 license, Series 24 preferred.
• Knowledge of broker dealer regulatory environment required, including FINRA, SEC, and NFA rules.
• Ability to work with individuals at all levels of an organization required.
• Adept at interfacing with external constituents including regulators and other representatives.
• Strong analytical and critical thinking skills, sound judgment and decision-making skills, and strong verbal and written communication skills.
• A solid businessperson, intellectually sharp and energetic, who is dedicated to the improvement of the productivity and profitability of the organization.
• A results-oriented and resourceful leader who is capable of quickly taking control of his/her responsibilities and establishing himself/herself as a credible and creative business partner.

Location:

BTG Pactual US Capital LLC, 200 S Biscayne Blvd, 55th Floor, Miami, FL, 33131

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Mid-Senior level

Full-time

Finance and Sales