Job Description

Join to apply for the Chief Compliance Officer role at Bci Miami .

Job Summary

The role of Chief Compliance Officer (CCO) for Bci Securities, the Broker-Dealer (BD) and Registered Investment Advisor (RIA), will report to the CEO of the broker dealer, and indirectly to the Head of Wealth Management and the Board of Directors. Responsibilities include ensuring regulatory compliance across these entities. The CCO will also collaborate with global teams, especially in Latin America.

Duties of the Position

• Establish and maintain standards and procedures for regulatory compliance.
• Manage agreements between entities and BCI Securities – Miami.
• Assess risks and the effectiveness of controls to minimize operational and reputational risks.
• Oversee compliance functions including supervisory procedures, transaction monitoring, AML compliance, training, and testing.
• Manage licensing requirements and regulatory interactions.
• Support compliance in supervisory oversight, training, surveillance, licensing, AML supervision, and advertising.
• Collaborate with management and other departments to promote an ethical culture.
• Advise on MSRB, FINRA, SEC rules, and internal policies.
• Stay updated on AML regulations and ensure timely filing of SARs, CTRs, and CIMRs.
• Review and approve political contributions and sponsorship requests.
• Supervise sales activities and manage KYC processes.
• Research industry best practices and ensure compliance with evolving duties.
• Lead and manage staff, promoting collaboration and objectivity.
• Fluent in English and Spanish, with excellent communication skills.
• Perform additional duties as assigned, including travel and flexible hours.

Qualifications

• Bachelor’s Degree (advanced degree preferred).
• Certificates in AML or similar experience.
• Series licenses for Compliance Officer and General Sales Principal.
• Minimum 10 years in a senior compliance role supporting a Broker-Dealer and/or RIA.
• Experience with regulatory agencies, legal teams, and US AML regulations.

Additional Requirements

• Proficiency in Microsoft Office.
• Ability to operate in a bilingual environment (English/Spanish).
• Willingness to work flexible hours and travel as needed.

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