Job Description
Join our award-winning compliance team in Tampa and accelerate your career with a sign-on bonus! We're seeking a meticulous Compliance Officer to safeguard our operations in the dynamic financial services sector. Enjoy competitive benefits, professional development opportunities, and the chance to make a tangible impact in regulatory compliance.
Responsibilities
- Monitor and interpret federal/state regulations (SEC, FINRA, CFPB) for financial products
- Develop/implement compliance policies and procedures across business units
- Conduct internal audits and risk assessments with detailed reporting
- Train staff on compliance protocols and regulatory updates
- Collaborate with legal team on regulatory filings and investigations
- Manage AML/BSA monitoring and SAR reporting processes
- Act as primary liaison with regulatory examinations
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 5+ years compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or equivalent
- Advanced knowledge of FINRA/SEC regulations
- Strong analytical and investigative skills
- Experience with compliance software (e.g., Certegy, ComplyAdvantage)
- Exceptional written communication and documentation abilities