Job Description
Join our award-winning financial services firm in sunny St. Petersburg, FL as a Compliance Officer. We're seeking a detail-oriented professional to ensure regulatory adherence while supporting our rapid growth. This role offers immediate start, competitive benefits, and the opportunity to shape our compliance framework in a dynamic environment.
Responsibilities
- Monitor and implement federal/state regulatory requirements (FINRA, SEC, CFTC)
- Conduct risk assessments and internal audits for financial products
- Develop/update compliance policies and procedures documentation
- Train staff on regulatory changes and best practices
- Investigate and resolve compliance violations promptly
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- FINRA Series 7, 63, and 24 licenses preferred
- Proficiency with compliance software (e.g., ComplianceEase, OnBase)
- Strong analytical and problem-solving abilities
- Excellent written/verbal communication skills
- Knowledge of AML/BSA regulations