Job Description
Join our dynamic compliance team in sunny Tampa! We're urgently seeking a meticulous Compliance Officer to ensure regulatory adherence in our fast-growing financial services firm. This high-impact role offers competitive compensation, comprehensive benefits, and the chance to shape our compliance framework while enjoying Florida's vibrant lifestyle. Apply today to become a guardian of integrity in one of America's most dynamic cities!
Responsibilities
- Develop and implement robust compliance policies aligned with FINRA, SEC, and Florida state regulations
- Conduct regular internal audits and risk assessments across financial operations
- Investigate regulatory violations and recommend corrective actions
- Train staff on compliance procedures and regulatory updates
- Monitor industry trends to ensure proactive compliance adaptation
- Prepare detailed reports for senior leadership and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Active FINRA Series 24 or 27 certification required
- Deep knowledge of federal and Florida financial regulations
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills
- Proficiency in compliance management software (e.g., ComplianceEase)