Job Description
Join Jacksonville's leading financial services firm as a Compliance Officer! We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical practices. Enjoy a competitive salary, comprehensive benefits, and a $15,000 sign-on bonus for qualified candidates. Work in our modern downtown office with hybrid flexibility and career advancement opportunities. Be part of a team that values integrity and innovation in compliance.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits for financial products and services
- Train staff on regulatory updates and ethical standards
- Investigate potential violations and prepare corrective action plans
- Collaborate with legal and audit teams to ensure policy effectiveness
- Monitor regulatory changes and advise on compliance implications
- Prepare reports for senior management and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 7, 24, and 63/66 certifications
- Strong knowledge of AML, BSA, and Dodd-Frank regulations
- Advanced analytical and problem-solving skills
- Experience with compliance software (e.g., Wolters Kluwer, ComplyAdvantage)
- Excellent written/verbal communication and presentation abilities