Broker-Dealer Compliance Officer; FINRA & AML/KYC)
Listed on 2026-10-21
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Finance & Banking
Regulatory Compliance Specialist
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.
As a Broker-Dealer Compliance Officer (FINRA & AML/KYC), you will play an important part at Galicia Capital in Miami, FL, United States.
The advertised compensation is 90..
We aim to respond to suitable candidates as soon as possible.
Full responsibilities and requirements are described in the listing above.
Learn more about the Broker-Dealer Compliance Officer (FINRA & AML/KYC) role in the description above.
We appreciate your interest in this position.
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