Compliance Manager

Employer: Novo Platform Inc

Location: 78 SW 7th Street, 8th floor, Miami, FL 33130 

Position: Compliance Manager

Responsibilities:

• Plan, direct, or coordinate activities of an organization to ensure compliance with ethical or regulatory standards.
• Conduct comprehensive research and analysis across various regulations (e.g., FINRA, OCC, BSA, AML, UCC, SEC, etc.), judicial precedents, and academic articles to ensure compliance with the regulatory standards.
• Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required. Identify compliance issues that require follow-up or investigation.
• Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.
• File appropriate compliance reports with regulatory agencies.
• Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
• Consult with corporate attorneys as necessary to address difficult legal compliance issues.
• Conduct or direct the internal investigation of compliance issues.
• Verify that all regulatory policies and procedures have been documented, implemented, and communicated.
• Disseminate written policies and procedures related to compliance activities.
• Prepare management reports regarding compliance operations and progress.
• Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
• Keep informed regarding pending industry changes, trends, or best practices.
• Monitor compliance systems to ensure their effectiveness. 

Requirements:

• Master's in Law
• In-person required