Job Description
Position Summary
The Compliance & AML Analyst supports the Firm in executing its regulatory and supervisory responsibilities. This person reports to the Broker Dealer and RIA Chief Compliance Officers. This role is ideal for a detail-oriented professional with a strong understanding of compliance operations, documentation standards, and surveillance systems. The Compliance Officer will assist in monitoring daily activities, maintaining records, and supporting internal audits and training efforts.
Key Responsibilities
Compliance Monitoring & Support
Qualifications and Skills
Work Environment
This role is based in a professional securities office in Guaynabo, Puerto Rico. It requires a polished, compliance-focused demeanor and may involve occasional overtime to meet regulatory deadlines or support audits.
Equal Employment Opportunity Statement
We are an Equal Employment Opportunity employer. We are committed to providing a workplace free from discrimination or harassment based on race, color, religion, creed, sex, gender identity or expression, sexual orientation, national origin, age, disability, marital status, veteran status, genetic information, or any other protected status under applicable federal, state, or local laws. We value diversity and encourage individuals from all backgrounds to apply.
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