Brokerage Compliance Associate para Insigneo

Are you looking for new career opportunities? Do you want to be part of a global company that specializes in financial services? If youre a compliance professional with a passion for regulatory frameworks, we want to hear from you!
We offer you
The opportunity to play a key role in a reputable company that will provide you with all the tools to grow professionally. Development opportunities within the company.
The chance to be part of a team of highly skilled professionals.
A hybrid work model.
Competitive compensation and additional benefits.
What will be your main focus in this position?
As Brokerage Compliance Associate has the overall responsibility of providing day-to-day supervision and guidance related to regulatory requirements, as it pertains to all activities of Investment Professionals under the scope of the Central Bank of Uruguay.
Responsibilities and Challenges
Responsible for the day-to-day oversight of the sales process ensuring policies, practices and regulations are followed by the Firms Investment Professionals, with special focus on regulations of the Central Bank of Uruguay.
Work closely with the Firms internal resources on matters related to compliance, ensuring policies and procedures are followed.
Monitor sales activities using various tools and reports ensuring that all activities are in compliance with established regulations and Firms policies.
Work with Relationship Managers in the resolution of sales activities and escalate issues to the corresponding management level when appropriate.
Ensure that Investment Professionals have the necessary resources to successfully comply with our supervisory reviews.
Build key relationships with the Firms Investment Professionals, department team members and other key stakeholders to ensure an integral approach to the sales function.
What skills and qualities will help you succeed in this role?
Bachelors degree in business administration, accounting, economy, or related field.
Minimum of two (2) years of work-related experience.
Knowledge of industry regulations and financial industry products and services. Knowledge of broker dealer operations and Banco Central rules.
Prefer Knowledge of FINRA (Financial Industry Regulatory Authority) and SEC regulations. Interest in attaining FINRA licenses (S7, S24)
Knowledge in the operation of laptops/desktops and Microsoft platforms/software (Word, Excel, PowerPoint, and Outlook) .
Bilingual (English/Spanish). Portuguese is a plus.
Working Conditions: This is a full-time position with a hybrid work model. The role may require occasional travel to company branches, offices of supervisory jurisdiction, or other subsidiaries.
This is an excellent opportunity to join a prestigious company that offers a supportive work environment and compensation that matches the responsibilities of the role.
Ready to take the next step in your career? Lets make it happen apply now and join an amazing team!
This opportunity is also part of the promotion of employment for people with disabilities as per Law No. 19.691 and Decree 73/019, provided the candidate meets the necessary qualifications for the position.