Job Description
Join Tampa Bay Financial Group as a pivotal Compliance Officer and safeguard our clients' financial integrity in one of America's fastest-growing financial hubs. We're seeking a detail-oriented professional to navigate complex regulatory landscapes while driving ethical excellence across our operations. Enjoy competitive compensation, comprehensive benefits, and career growth in a dynamic environment committed to compliance innovation.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, CFPB)
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare regulatory reports and documentation with zero tolerance for errors
- Train staff on compliance protocols and regulatory updates
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and executive teams on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Expert knowledge of FINRA rules and SEC regulations
- Exceptional analytical and investigative skills
- Strong written/verbal communication abilities
- Experience with compliance management software (e.g., MetricStream)