Job Description
Join our dynamic team as a Compliance Officer in Tampa, FL, where you'll safeguard our organization's integrity while driving regulatory excellence. This pivotal role requires meticulous attention to detail and proactive risk mitigation in a fast-paced financial services environment. You'll collaborate with cross-functional teams to implement robust compliance frameworks, ensuring adherence to federal regulations including SEC, FINRA, and AML requirements. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in a city renowned for its vibrant business climate.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with industry regulations
- Conduct thorough risk assessments and internal audits across all business units
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on compliance policies and regulatory updates
- Stay current on evolving financial regulations and industry best practices
- Collaborate with legal and risk management teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- Certification (CRCM, CAMS, or CCEP) strongly preferred
- Deep knowledge of federal/state regulations (SEC, FINRA, BSA/AML)
- Exceptional analytical and problem-solving skills
- Strong written and verbal communication abilities
- Proficiency with compliance software (e.g., ComplySci, Diligent)
- Ability to thrive in deadline-driven environments