Opportunities for Compliance Officer in Miami, FL

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Opportunities for Compliance Officer in Miami, FL

Responsibilities

• Develop and implement an effective legal compliance program
• Create sound internal controls and monitor adherence to them
• Draft and revise company policies
• Proactively audit processes, practices and documents to identify weaknesses
• Evalua ...Read more

Our client is seeking a compliance officer to join their team! This role requires experience in financial services.

Responsibilities

• Develop and implement an effective legal compliance program
• Create sound internal controls and monitor adheren ...Read more

Responsibilities:

Risk and Compliance

• Conduct audits and testing of broker/dealer branch offices for their compliance of written policies and procedures
• Provide timely written reports to document findings and corrective actions to branch offices
• Track fin ...Read more

About the Company

Oak Ridge Financial is a well-established financial services firm offering a full complement of brokerage, financial advisory and investment banking services to individuals and corporations through two business lines. First, the Private Client Group is a f ...Read more

Responsibilities

• Develop and implement an effective legal compliance program
• Create sound internal controls and monitor adherence to them
• Draft and revise company policies
• Proactively audit processes, practices and documents to identify weaknesses
• Evalua ...Read more