Compliance Officer / Specialist

Company Description Galicia Capital US, LLC connects individuals and businesses with global investment opportunities, offering personalized advice and direct access to international financial markets. The firm focuses on solutions designed to preserve and grow client wealth through tailored strategies. As a member of FINRA and SIPC, Galicia Capital US, LLC operates under strict regulatory standards to help ensure the protection and security of client investments. The company values professionalism, integrity, and a client-centric approach. Additional information about the organization and its services is available on its corporate website.Role Description The Compliance Officer / Specialist is a full-time, on-site role based in Miami, FL, responsible for overseeing and supporting the firm’s adherence to applicable laws, regulations, and internal policies. Day-to-day responsibilities include monitoring regulatory changes, maintaining and updating compliance frameworks, conducting internal reviews, and preparing reports for management. The role involves supporting audits and examinations, reviewing client documentation and transactions for compliance risks, and ensuring accurate recordkeeping. The Compliance Officer / Specialist will also assist in developing and delivering compliance training, respond to compliance-related inquiries, and collaborate with internal teams to address potential issues proactively.Qualifications Candidates should possess strong skills in Compliance Management and Regulatory Compliance, including experience implementing and monitoring compliance programs.Candidates should possess solid Analytical Skills and Finance knowledge to interpret regulations, analyze data, and assess risk within investment and advisory activities.Candidates should possess effective Communication skills to prepare clear reports, policies, and guidance, and to collaborate with regulators, management, and internal teams.Relevant experience in broker-dealer or investment advisory environments, particularly within FINRA and SEC-regulated entities, is highly beneficial.Bachelor’s degree in finance, law, business, or a related field; professional certifications in compliance or securities regulation (e.g., CRCM, CAMS, or FINRA licenses) are a plus.Demonstrated attention to detail, integrity, and ability to work independently in a highly regulated and deadline-driven environment.