Job Description
Join our dynamic team as a Compliance Officer in sunny Tampa, FL! We're seeking a detail-oriented professional to ensure regulatory adherence while driving ethical business practices. Enjoy a competitive salary, comprehensive benefits, and a $10,000 sign-on bonus for qualified candidates. Work in a modern office with flexible schedules and career growth opportunities in the heart of Florida's financial hub.
Responsibilities
- Monitor and enforce compliance with federal regulations (FINRA, SEC, AML)
- Conduct risk assessments and internal audits
- Develop/update compliance policies and procedures
- Train staff on regulatory requirements and best practices
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and executive teams on compliance strategies
- Prepare regulatory reports and maintain documentation
Qualifications
- Bachelor's degree in Finance, Law, or related field
- 5+ years compliance/regulatory experience in financial services
- CFMP or CRCM certification preferred
- Strong knowledge of FINRA/SEC regulations
- Exceptional analytical and problem-solving skills
- Experience with compliance software (e.g., NASD, Bloomberg)
- Excellent written and verbal communication abilities