Banking Attorney in Miami, FL
Company Name:
BITSOFT INTERNATIONAL, INC.
Compliance Director Global Wealth Management LatAm Offshore Business
The candidate will advise on regulatory and Compliance topics and coordinate Compliance coverage with local Compliance staff in the US and Geneva for LATAM offshore businesses and local Compliance staff in the LATAM region for onshore businesses. Will liaise with Compliance specialists on each platform and deliver unified Compliance solutions to the business. Assist business management in the development of policies and procedures designed to achieve and ensure compliance with firm and regulatory requirements. Deliver uniform compliance advice on a variety of topics including sales and marketing issues, cross-border issues, personal trading, Code of Conduct and licensing. Coordinate Marketing materials review. Provide advice with respect to handling breaches of policy, client guidelines etc. Provide compliance input and review of New Business Initiatives, assess Compliance and Regulatory issues and impact of proposed new products and procedures. Conduct Compliance risk assessments and coordinate compliance testing/surveillance with LATAM teams. Liaise with auditors; manage responses and action compliance issues raised in audit reports and Control Self Assessment reviews. Liaise with global and regional Compliance management. Work in partnership with Legal, Risk, and Supervisory management teams. Identify and investigate potential rule breaches, coordinating corrective action with other control as required. Provide regulatory advice and support to supervisors and registered representatives in Miami branch for ultra-high net worth and high net worth businesses of the Bank LATAM. Provide regulatory advice and communicate firm policy regarding the Firm s sales practice for the suite of Investment Solutions offered. Conduct Annual Compliance training in Miami branch and other training as necessary. Receive, review, draft and advise on customer complaints and form U-4, U-5 and DEF filings. Participate in submission of quarterly filings to FINRA for regulatory and customer complaints. Assist on Regulatory exams/inquiries/sweeps in the region.Estimated Salary: $20 to $28 per hour based on qualifications.
BITSOFT INTERNATIONAL, INC.
Compliance Director Global Wealth Management LatAm Offshore Business
The candidate will advise on regulatory and Compliance topics and coordinate Compliance coverage with local Compliance staff in the US and Geneva for LATAM offshore businesses and local Compliance staff in the LATAM region for onshore businesses. Will liaise with Compliance specialists on each platform and deliver unified Compliance solutions to the business. Assist business management in the development of policies and procedures designed to achieve and ensure compliance with firm and regulatory requirements. Deliver uniform compliance advice on a variety of topics including sales and marketing issues, cross-border issues, personal trading, Code of Conduct and licensing. Coordinate Marketing materials review. Provide advice with respect to handling breaches of policy, client guidelines etc. Provide compliance input and review of New Business Initiatives, assess Compliance and Regulatory issues and impact of proposed new products and procedures. Conduct Compliance risk assessments and coordinate compliance testing/surveillance with LATAM teams. Liaise with auditors; manage responses and action compliance issues raised in audit reports and Control Self Assessment reviews. Liaise with global and regional Compliance management. Work in partnership with Legal, Risk, and Supervisory management teams. Identify and investigate potential rule breaches, coordinating corrective action with other control as required. Provide regulatory advice and support to supervisors and registered representatives in Miami branch for ultra-high net worth and high net worth businesses of the Bank LATAM. Provide regulatory advice and communicate firm policy regarding the Firm s sales practice for the suite of Investment Solutions offered. Conduct Annual Compliance training in Miami branch and other training as necessary. Receive, review, draft and advise on customer complaints and form U-4, U-5 and DEF filings. Participate in submission of quarterly filings to FINRA for regulatory and customer complaints. Assist on Regulatory exams/inquiries/sweeps in the region.Estimated Salary: $20 to $28 per hour based on qualifications.
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