Job Description
Join our dynamic compliance team in sunny St. Petersburg, Florida! We're seeking a meticulous Compliance Officer to ensure regulatory adherence while enjoying a flexible work schedule that supports work-life balance. This role is perfect for detail-oriented professionals who thrive in collaborative environments. Our competitive package includes health benefits, professional development opportunities, and the chance to make a tangible impact in the financial services sector.
Responsibilities
- Monitor and interpret evolving regulatory changes (FINRA, SEC, state regulations)
- Conduct internal audits and risk assessments across departments
- Develop/update compliance policies and procedures documentation
- Train staff on compliance protocols and ethical conduct
- Investigate potential violations and prepare remediation reports
- Act as primary liaison with regulatory bodies during examinations
- Manage compliance reporting for executive leadership and board committees
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- FINRA Series 65/66 or CCEP certification preferred
- Advanced knowledge of AML, KYC, and anti-fraud regulations
- Exceptional written/verbal communication skills
- Proficiency with compliance management software (e.g., OnBase, Diligent)
- Proven ability to balance multiple priorities with minimal supervision