Wealth Management Compliance Analyst at Ocean Bank

Miami, Florida, United States -

Full Time

Start Date

Immediate

Expiry Date

08 Jun, 26

Salary

0.0

Posted On

10 Mar, 26

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Regulatory Monitoring, Audits, Internal Controls, Compliance Program Maintenance, Data Analysis, Exception Reporting, Surveillance, Risk Management, Data Validation, Reconciliation, Report Writing, Regulatory Interpretation, Organizational Skills, Interpersonal Skills, Time Management, Communication Skills

Industry

Banking

Description

Overview The Wealth Management Compliance Analyst supports the development, implementation, and ongoing maintenance of the Wealth Management’s compliance program. This role performs regulatory monitoring, audits, examinations, and internal controls, working closely with Compliance, Operations, and third‑party vendors to ensure adherence to applicable state and regulatory requirements. Responsibilities Assist in the development, implementation, and maintenance of the Wealth Management’s compliance program in accordance with applicable state regulations. Create, organize, and maintain compliance books and records. Prepare, reconcile, and analyze discrepancies across compliance systems and forms, escalating items that require operational updates. Prepare, update, and maintain compliance‑related spreadsheets and reports, including licensed employee lists, registered representative documentation, and Outside Business Activities (OBA) records. Support exception reporting, including account‑level research, title matching, status validation, and documentation of findings. Perform ongoing monitoring activities in line with written policies, ensuring required frequencies are met (monthly, quarterly, annually). Collect, organize, and analyze large data sets and reports, including trade blotters, wire activity, SAR listings, account populations, and customer risk categories. Support regulatory examinations, audits, and inquiries from regulators. Coordinate and compile documentation for audits and regulatory reviews, ensuring completeness and accuracy across defined periods. Prepare requested documentation, assist with responses to regulatory findings, and support remediation efforts. Act as a liaison between Compliance, Operations, and third‑party vendors to track open items, follow up on pending requests, and confirm completion of deliverables. Conduct ongoing surveillance, testing, and monitoring of business activities to identify compliance risks, deficiencies, and control gaps. Qualifications Education/Experience: Requirements Bachelor’s degree in Business, Legal Studies, Political Science or a related field. 3+ years of compliance experience in banking or financial industry. Combination of education and experience will be considered. Skills & Competencies Strong understanding of regulatory frameworks such as BSA/AML, KYC, and risk management. High attention to detail in data validation and reconciliation Ability to manage multi‑item regulatory requests under tight deadlines Proactive self-starter. Must possess the ability to write formal reports, including recommendations. Must have ability to interpret consumer protection regulations, identify, analyze and document compliance risks. Must possess excellent organizational, interpersonal, time management, written and verbal communication skills. Computer proficiency in MS Software (e.g. Excel, Word, and Outlook). Preferences Prior compliance experience at a broker-dealer, investment firm, or dual-registered institution. Bilingual in English and Spanish. Licenses/Certifications None Job Posting Locations In this role you can work hybrid from Miami, Florida, United States

Responsibilities

The analyst supports the development and maintenance of the Wealth Management compliance program by performing regulatory monitoring, audits, and internal controls. Key duties include creating compliance records, analyzing data sets like trade blotters, and supporting regulatory examinations and inquiries.