Job Description
We are looking for a meticulous and experienced Compliance Officer to join our dynamic team in Tampa, FL. In this pivotal role, you will be responsible for ensuring our organization adheres to internal policies and external regulatory requirements. You will act as a guardian of our reputation, mitigating risk and fostering a culture of integrity.
If you have a strong background in financial regulations and a passion for maintaining high standards of compliance, we want to hear from you.
Why Join Us?
- Competitive salary package ($75k - $95k).
- Comprehensive health benefits and retirement plans.
- Professional development and certification support.
- Collaborative and inclusive work environment.
Responsibilities
- Monitor and interpret federal, state, and local regulations to ensure ongoing compliance within the organization.
- Conduct regular internal audits and risk assessments to identify potential compliance gaps and implement corrective actions.
- Develop, update, and communicate internal compliance policies and procedures to all staff members.
- Manage the KYC (Know Your Customer) and AML (Anti-Money Laundering) processes effectively.
- Prepare and submit detailed compliance reports to senior management and regulatory bodies as required.
- Train employees on compliance standards and regulatory changes to foster a culture of accountability.
- Investigate internal complaints or reports of misconduct to ensure fair and lawful practices.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field.
- Minimum of 3-5 years of experience in a compliance, auditing, or regulatory role.
- Certifications such as CAMS, CFE, or Series 7/24 are highly preferred.
- Deep understanding of FINRA, SEC, and state banking regulations.
- Excellent analytical skills with the ability to interpret complex regulatory frameworks.
- Strong attention to detail and exceptional problem-solving abilities.
- Effective communication skills to present complex compliance issues to non-technical stakeholders.