Wealth Management Compliance Analyst

Ocean Bank•Miami, FL

1d•Hybrid

About The Position

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.

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.
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).

Nice To Haves

Prior compliance experience at a broker-dealer, investment firm, or dual-registered institution.
Bilingual in English and Spanish.

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.