Compliance Officer
Top-Tier Financial Services Company in Tampa is looking for a permanent Senior Compliance Officer!
Responsibilities:
- The ideal candidate will be professional, analytical, and possess excellent written and verbal communication skills. To prosper in this role, you should be fluent in risk management and industry’s principles.
- Continually improve Compliance Program for relevant entity by utilizing applicable regulations, risk management techniques, and business area knowledge to maintain and test relevant policies and procedures that comprise the compliance program.
- Identify and react to changes in regulatory requirements impacting the broker/dealer.
- Develop and maintain a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting. Finds, interprets and implements directives and/or regulation that impact(s) the current compliance environment.
- Execute on broker-dealer compliance functions.
- Work with the broker-dealer Operations and Trading teams to ensure regulatory compliance with applicable rules and regulations.
- Complete the annual review of the broker-dealer’s compliance.
- Manage broker-dealer core compliance obligations, including, registration processes, continuing education, annual training.
- Update written supervisory procedures and draft desktop procedures for broker-dealer functions.
Qualifications:
- Series 7 and 24 required
- 5 years’ + experience in financial services
- Advanced knowledge of FINRA, Investment Advisers Act, SEC, and state securities rules and regulations.