Job Description
Are you ready to drive regulatory excellence in the heart of Florida? Horizon Compliance Partners is seeking a highly skilled and detail-oriented Senior Compliance Officer to join our elite Tampa team. In this pivotal role, you will be responsible for ensuring our organization adheres to all applicable laws, regulations, and internal policies. We offer a competitive compensation package, a collaborative culture, and the opportunity to work on high-impact projects that shape the future of financial compliance.
As a key member of our Risk Management division, you will act as a guardian of our reputation, mitigating risk and ensuring operational integrity across all departments. If you are a strategic thinker with a passion for regulatory frameworks, we want to hear from you.
As a key member of our Risk Management division, you will act as a guardian of our reputation, mitigating risk and ensuring operational integrity across all departments. If you are a strategic thinker with a passion for regulatory frameworks, we want to hear from you.
Responsibilities
- Oversee Regulatory Frameworks: Develop, implement, and maintain comprehensive compliance programs and policies to ensure adherence to federal and state laws (e.g., SEC, FINRA, state banking regulations).
- Conduct Audits & Assessments: Perform regular internal audits and risk assessments to identify potential vulnerabilities and recommend corrective actions to senior management.
- Training & Education: Design and deliver compliance training programs for employees to foster a culture of ethical behavior and regulatory awareness.
- Monitor Industry Changes: Stay abreast of evolving regulatory trends and legislation to ensure the company remains compliant with new requirements.
- Incident Management: Investigate compliance violations and manage the remediation process, including reporting to regulatory bodies when necessary.
- Vendor Management: Assess third-party vendors for compliance risks and ensure they meet our due diligence standards.
Qualifications
- Education: Bachelor’s degree in Finance, Law, Business Administration, or a related field required; Master’s degree (MBA) or Juris Doctor (JD) preferred.
- Experience: Minimum of 5 years of progressive experience in compliance, risk management, or auditing within the financial services industry.
- Certifications: CFE, CFA, CAMS, or CRCM certification is strongly preferred.
- Knowledge: Deep understanding of AML/KYC regulations, data privacy laws (GDPR/CCPA), and internal control frameworks.
- Skills: Excellent analytical skills with the ability to interpret complex regulations and apply them practically.
- Communication: Superior verbal and written communication skills with the ability to present complex compliance issues to non-technical stakeholders.