Company: Orbis Systems, Inc.
Location: Boca Raton
Posted on: May 3, 2021
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
- 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
- Help collecting documentation and data for regulators
- Assist clients and different departments with questions.
- Help and participate in projects when needed with the
- 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.
Keywords: Orbis Systems, Inc., Boca Raton , Compliance, Other , Boca Raton, Florida
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