What are the responsibilities and job description for the Compliance Officer position at Zinvest Financial?
Compliance Officer
Location: Miami, FL
Employment Type: Full-Time
Reports To: Chief Compliance Officer (CCO)
Zinvest Financial Service, LLC, an SEC-registered and FINRA-member introducing broker-dealer, is seeking a Compliance Officer to support its regulatory compliance program, daily brokerage operations, and supervisory activities.
The ideal candidate will have hands-on broker-dealer compliance experience, strong knowledge of FINRA and SEC regulations, and the ability to independently manage day-to-day compliance responsibilities under the supervision of the CCO.
Key Responsibilities
1. Client Onboarding & AML Compliance
- Review new account applications, KYC/CIP documentation, and customer due diligence.
- Conduct sanctions screening, enhanced due diligence, and AML investigations.
- Monitor suspicious activities and escalate potential violations to the CCO or designated AML Officer.
2. Trade Surveillance & Regulatory Compliance
- Review daily trading activity, surveillance alerts, and exception reports.
- Investigate and document unusual trading patterns and regulatory exceptions.
- Coordinate compliance-related matters with the clearing broker.
3. Supervisory Procedures & Regulatory Filings
- Maintain and update the firm's Written Supervisory Procedures (WSPs) and compliance policies.
- Support FINRA/SEC regulatory filings, examinations, and inquiries.
- Track regulatory deadlines and maintain firm and employee registrations, including Forms U4/U5.
4. Communications & Employee Compliance
- Review advertising, website content, social media, and electronic communications under FINRA requirements.
- Monitor employee personal trading, outside business activities, and required compliance certifications.
- Coordinate employee compliance training and continuing education.
5. Compliance Monitoring & Operational Support
- Maintain compliance records, customer complaint logs, and regulatory documentation.
- Review compliance-related exceptions involving customer fund transfers and account activities.
- Assist with vendor oversight, risk assessments, and implementation of regulatory requirements.
- Provide day-to-day compliance support and escalate material concerns to the CCO.
Required Qualifications
- Bachelor's degree in Finance, Business, Accounting, Law, or a related field.
- Minimum 2 years of compliance experience with a FINRA-registered broker-dealer.
- Working knowledge of FINRA and SEC regulations, AML/KYC requirements, and broker-dealer supervisory procedures.
- Practical experience with customer onboarding, compliance monitoring, and regulatory documentation.
- Strong analytical, organizational, and communication skills.
Preferred Qualifications
- FINRA Series 7 and/or Series 24 licenses.
- Experience with an introducing broker-dealer and clearing firm relationships.
- Familiarity with FINRA Gateway, CRD, trade surveillance, and electronic communications monitoring systems.
- Experience assisting with FINRA/SEC examinations and WSP updates.
Reporting & Authority
The Compliance Officer reports to the CCO and works closely with Operations, Finance, and the clearing broker. Responsibilities include conducting routine compliance reviews, investigations, and regulatory coordination. Final supervisory approvals and regulatory decisions remain with designated authorized principals.