BTG Pactual · 1 month ago
Broker Dealer Compliance Officer
Miami
Full-time
Onsite
Mid Level
3+ years expBTG Pactual is a financial services firm, and they are seeking a Broker Dealer Compliance Officer to develop and implement compliance policies for the US broker dealer business. The role involves ensuring regulatory documentation is maintained, conducting compliance reviews, and providing training to employees regarding securities rules and regulations.
Asset ManagementBankingFinancial ServicesWealth Management
Responsibilities
Help develop and implement compliance policies and procedures for the US broker dealer business based upon regulatory requirements, industry practices and established internal controls
Ensure that all required documentation is properly provided to the regulatory authorities and maintained by the Company
Conduct oversight, testing and remediation in accordance with FINRA Rule 3012
Identify gaps or risk exposures in operations and implement all necessary checks-and-balances and risk assessment reviews including internal audits and automated surveillance/monitoring programs
Perform daily, weekly, monthly, quarterly, and annual compliance reviews (including transaction reviews)
Provide training and advice to the Company’s employees and management regarding applicable securities rules, regulations, and firm policies
Effectively analyze situations and apply experience and judgment to resolve issues in a timely manner
Identify any new or updated regulatory requirements that may lead to changed policies
Liaise with the Front Office, Compliance, Legal and other departments regarding internal Group policies and issues
Qualification
Required
Bachelor's degree or equivalent work experience required
3+ years of compliance experience
Knowledge of broker dealer regulatory environment required, including FINRA, SEC, and NFA rules
Ability to work with individuals at all levels of an organization required
Adept at interfacing with external constituents including regulators and other representatives
Strong analytical and critical thinking skills, sound judgment and decision-making skills, and strong verbal and written communication skills
A solid businessperson, intellectually sharp and energetic, who is dedicated to the improvement of the productivity and profitability of the organization
A results-oriented and resourceful leader who is capable of quickly taking control of his/her responsibilities and establishing himself/herself as a credible and creative business partner
Preferred
FINRA Series 7 license, Series 24 preferred
Company
BTG Pactual
BTG Pactual is a financial company that operates in the markets of investment banking, wealth management, and asset management.
5001-10000 employees
Funding
Current Stage
Public CompanyTotal Funding
$2.67BKey Investors
Asian Infrastructure Investment BankEuropean Investment Bank
2025-07-13Post Ipo Debt· $160M
2024-11-25Post Ipo Debt· $210M
2024-10-17Post Ipo Debt· $500M
Leadership Team
K
Kathleen Romagnano
President and CEO
Roberto Sallouti
CEO
Recent News
Qatar Tribune
2026-01-21
The Rio Times
2026-01-05
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