Job Description
Join our dynamic Orlando team as a Compliance Officer where your expertise protects our clients and drives regulatory excellence. Enjoy competitive weekly pay, comprehensive benefits, and a collaborative environment focused on growth. We're seeking a detail-oriented professional to ensure adherence to federal, state, and industry regulations while fostering a culture of integrity and compliance.
Responsibilities
- Monitor regulatory changes and implement compliance policies across all departments
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and deliver compliance training programs for staff
- Investigate and resolve regulatory violations with corrective action plans
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Collaborate with legal and HR teams on compliance initiatives
- Maintain accurate records of compliance activities and documentation
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and Florida state regulations
- Relevant certifications (CRCM, CAMS, or CCEP) preferred
- Exceptional analytical and problem-solving skills
- Proficiency in compliance management software (e.g., ComplianceEase)
- Excellent written and verbal communication abilities