Brokerage firm - FINRA Licensed Compliance Associate Job at ViewTrade, Boca Raton, FL

WW5VNnJxRXJnejhFTUVTbWc1ZVp0K2VZZVE9PQ==
  • ViewTrade
  • Boca Raton, FL

Job Description

ViewTrade Securities is currently looking for a licensed Compliance Associate for our Boca Raton, FL office.

 

We are seeking full time candidates with 5+ years of experience in the brokerage industry with a Series 24 License.

 

Must possess strong professional communication skills; with the ability to develop positive working relationships and provide excellent customer support for both our national and international clients. Must be team oriented and work well under pressure, capable of working with multiple systems, must have high attention to detail, the ability to process work accurately and meet deadlines, ability to work independently and think critically exercising good judgment, excellent problem resolution, organizational, and follow-up skills are a must, and the ability to embrace change and work in a fast-paced environment. In our firm compliance and operations work together as one, therefore knowledge on the operations side is preferred.

 

Duties include, but not limited to:

  • Assist the CCO and perform daily compliance duties like FINCEN reports, MIS Alerts, activity letters, account approval, incoming and outgoing fund transfers, incoming ACAT review, DTC, DRS, DWAC transfers.
  • Register/deregister new/old employees in the CRD and FINRA systems and process all related documentation.
  • Keeping track and assisting in the annual compliance meetings if needed.
  • Help collecting documentation and data for regulator’s requests.
  • Assist clients and different departments with questions.
  • Help and participate in projects when needed with the operations team.
  • Help with reviewing daily compliance reports if needed.
  • Perform other duties as assigned or required.

 

At ViewTrade you will have a competitive salary, excellent benefit packages which include Health, Dental, Vision, Life Insurance and 401K Plan with employer match and paid time off.

Job Tags

Full time, Work at office,

Similar Jobs

Careerscape

Content Writer Job at Careerscape

 ...and cloud computing industries. The Content Writer will work remotely with flexibility to manage their own schedule while meeting...  ...learning new industries quickly ~ Excellent grammar, editing, and proofreading abilities ~ Experience with SEO best practices and content... 

Yale New Haven Health

Credentialing Specialist Job at Yale New Haven Health

 ...compassion - must guide what we do, as individuals and professionals, every day. Under the supervision of the Manager, the Credentialing Specialist is responsible for the execution of all activities related to the appointment or re-appointment of Members and Affiliated... 

System One

Work Order Processor Job at System One

If you're looking for a hybrid schedule that supports a healthy work-life balance, this could be the ideal opportunity for your next career move. System One is actively recruiting for a Work Order Processor for a long-term contract position located in Lakewood...

Enterprise Mobility

Summer 2026 Management Trainee Intern - Harrisburg Job at Enterprise Mobility

 ...Overview If you're looking to hit the ground running, the Enterprise Management Internship will help you build valuable business and leadership skills. For a university/college student, the real-world professional experience you'll receive during the internship... 

Hold Brothers

Proprietary US Equities Trader/Active Job at Hold Brothers

About the Job: Hold Brothers Capital, LLC, is a FINRA Registered, SEC, Self-Clearing Broker Dealer. We strive to be a complete destination for traders looking to maximize their performance in todays financial markets. We trade the US Equity Markets only. Our proprietary...