Job Description
Join our dynamic compliance team in sunny Tampa! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence and mitigate risk across our financial operations. This hybrid role offers competitive compensation, comprehensive benefits, and the opportunity to make a tangible impact in a growing industry.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, State Laws)
- Develop and implement compliance policies/procedures
- Conduct internal audits and risk assessments
- Train staff on compliance protocols
- Manage investigations and regulatory reporting
- Liaise with external regulators and auditors
Qualifications
- Bachelor's degree in Finance, Law, or related field
- 3+ years compliance experience in finance
- Certified Regulatory Compliance Manager (CRCM) preferred
- Strong knowledge of financial regulations
- Excellent analytical and communication skills
- Proficient in compliance management software