Control Specialist- International Private Client Services
This company is a provider of banking, mortgage, investing, credit card, insurance, and consumer and commercial financial services.
LOCATION: Miami, FL
DESCRIPTION: The Control Specialist - International Private Client Services responsible for reviewing all compliance systems and reporting as required for the assigned branches within the Market and reports the findings to the Market/Complex Admin Manager on a daily basis. Works with the Market/Complex Admin Manager to ensure that branch compliance procedures fulfill all compliance requirements. Performs ongoing regulatory, compliance, and operational reviews as well as other duties as assigned, as delegated by the Market/Complex Admin Manager (e.g., new account forms, daily order review, etc.) for each branch (within the Market/Complex), bringing any deficiencies or concerns to the Market/Complex Admin Manager s attention immediately.
3+ years of financial services compliance experience
Bilingual speaking, reading, and writing proficiency in Spanish/English
Strong client service skills
Strong attention to detail and accuracy skills
Effective organizational, multi tasking, and prioritizing skills
Strong verbal, written, and interpersonal communication skills
Knowledge and understanding of international brokerage operations
Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
Ability to process complex transactions and perform extensive research to resolve complex customer issues
Knowledge and understanding of brokerage: systems or applications
Knowledge and understanding of brokerage: account processes and compliance procedures
Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents)
Registration for FINRA Series 9/10 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards