Job Description
Join our dynamic team as a Compliance Officer in sunny St. Petersburg, FL! We're offering a competitive salary package including a $7,500 sign-on bonus for qualified candidates who can start within 30 days. This role is critical to ensuring our organization adheres to federal regulations, internal policies, and industry standards. Enjoy flexible work arrangements, comprehensive benefits, and career growth opportunities in a coastal city renowned for its vibrant culture and quality of life.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and AML regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Provide expert guidance to business units on regulatory changes and policy updates
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Lead training initiatives to enhance organizational compliance awareness
- Investigate and resolve compliance breaches with corrective action plans
- Maintain accurate documentation of compliance activities and findings
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Active FINRA Series 7 and 63/66 licenses required
- Advanced knowledge of BSA/AML, Dodd-Frank, and SEC regulations
- Strong analytical skills with experience in compliance software (e.g., ComplyAdvantage)
- Proven ability to interpret complex regulatory requirements
- Excellent communication skills with C-suite experience
- CFMP or CAMS certification strongly preferred