Job Description
Join our award-winning compliance team in sunny St. Petersburg, FL! We're offering a $7,500 sign-on bonus for experienced Compliance Officers to help us maintain regulatory excellence. Enjoy competitive benefits, flexible work arrangements, and career advancement opportunities in a dynamic financial services environment.
Responsibilities
- Monitor regulatory changes and implement compliance policies across all business units
- Conduct internal audits and risk assessments for financial transactions
- Develop training programs for staff on anti-money laundering (AML) and KYC protocols
- Investigate and resolve compliance violations with corrective action plans
- Liaise with regulatory bodies including FINRA, SEC, and state agencies
- Prepare compliance reports for senior management and board committees
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certified Compliance & Ethics Professional (CCEP) designation required
- Expert knowledge of FINRA, SEC, and Florida state regulations
- Advanced proficiency in compliance monitoring software (e.g., Actimize, NICE Actimize)
- Exceptional analytical and investigative skills
- Strong written/verbal communication abilities