Job Description
We are looking for a highly analytical and detail-oriented Compliance Officer to join our growing team in Tampa, FL. In this pivotal role, you will ensure our organization adheres to all applicable laws, regulations, and internal policies. You will play a critical part in mitigating risk, maintaining our reputation, and fostering a culture of integrity and transparency. If you are a strategic thinker with a passion for regulatory frameworks, we want to meet you.
Why Join Us?
- Competitive salary and comprehensive benefits package.
- Work in a dynamic, fast-paced environment within Tampa's vibrant business district.
- Opportunities for professional growth and leadership development.
- State-of-the-art office facilities and remote work flexibility options.
Responsibilities
- Monitor and evaluate the effectiveness of internal controls and compliance programs to ensure alignment with regulatory standards.
- Conduct thorough internal audits and risk assessments to identify potential vulnerabilities and areas for improvement.
- Develop, implement, and update corporate compliance policies and procedures to meet changing legal and regulatory requirements.
- Provide training and guidance to staff members on compliance-related topics and best practices.
- Prepare and submit accurate reports to senior management and external regulatory bodies as required.
- Investigate potential violations of company policies or regulatory laws and recommend appropriate disciplinary or corrective actions.
- Stay abreast of changes in federal, state, and local laws and regulations relevant to our industry.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field required; Master’s degree preferred.
- Minimum of 3-5 years of experience in compliance, risk management, or internal auditing within the financial services industry.
- Strong working knowledge of relevant regulatory frameworks (e.g., SEC, FINRA, GDPR, SOX).
- Excellent analytical, problem-solving, and decision-making skills.
- Exceptional attention to detail with the ability to interpret complex regulations.
- Strong verbal and written communication skills, with the ability to present complex information clearly.
- Certification such as CFE, CIPP, or CFA is a plus.