 "job description"
Iona asked me to post these details for her. This is the job on offer:Compliance Manager - Retail Brokerage - Banking - URUGUAY. Full time role, Relocation available The Complex Compliance Manager is responsible for: (1)Performing all daily, weekly, monthly, and quarterly compliance reviews for all branches within the complex and reporting the findings to the Complex Manager on a monthly basis. (2)This individual works with the Complex Operations Managers to ensure that branch operational procedures fulfill both compliance and operational requirements. (3) The Complex Compliance Manager performs routine regulatory, compliance, and operational reviews as delegated by the Complex Manager. For example, new account forms, daily order reviews, etc. (4)The Complex Compliance Manager brings any deficiencies or concerns to the Complex Managers attention immediately. Requirements 5 years minimum experience in charge of compliance in a full service retail brokerage branch with Latin American Business Series 7, 9, 10, 63 & 65 required Experience with major full service retail brokerage Clean CDR report Experience in International Markets with FA's working with NRA accounts. Bilingual English and Spanish, Portuguese is a plus Experience managing compliance in a branch with NRA (Non-Resident Account) business of $10million in revenues or greater with supervisory responsibilities Experience performing daily, weekly, monthly, and quarterly compliance and operational audits | 
