Compliance Officer

Calton & Associates Inc. is currently seeking an experienced Compliance Officer to join our team in Tampa, FL. Calton & Associates Overview Calton & Associates is one of the nation’s long standing broker dealers servicing independent financial professionals and advisors. Founded in 1987, Calton & Associates has built a solid foundation for supporting independent financial professionals, advisors, and the growth of their business. Through a comprehensive range of financial products and services, Calton & Associates helps advisors pursue the appropriate financial solutions to support clients’ needs. With over 100 offices nationwide, Calton & Associates is a family friendly broker dealer for quality advisors who want independence along with support to grow their business. Position Description The Compliance Officer is responsible for assisting in developing, implementing, and overseeing the firm’s compliance program to ensure adherence to applicable federal and state securities laws, regulations, and industry standards, including SEC, FINRA, and applicable exchange rules. This role serves as a key advisor to the Chief Compliance Officer and business units on regulatory requirements, monitors trading activity and business practices for potential violations, and helps manage relationships with regulatory bodies during examinations and inquiries. The Compliance Officer helps maintain and update written supervisory procedures (WSPs), conducts compliance training, and leads internal investigations as needed. The ideal candidate brings a strong understanding of broker-dealer and investment adviser operations, a proactive approach to regulatory risk management, and the ability to balance regulatory obligations with business objectives. Provide assistance and guidance to registered representatives and their staff regarding compliance issues, firm policies and procedures, and industry regulations. Review advertising submissions for compliance with firm policies and procedures and industry regulations. Monitor offices requiring heightened review. Lead the development and implementation of surveillance reviews Monitor and report on periodical compliance exception reports. Conduct examinations of branch offices. Assist in the preparation for regulatory examinations and arbitrations. Respond to verbal and written inquiries and requests. Monitor and review representatives’ outside business activities. Review and respond to customer complaints. Performing other duties as assigned. Education and Experience Series 7, 66 or 63 and 65, & 24 or 9/10 required. Skills and Abilities Strong knowledge of FINRA, SEC and state regulations Strong knowledge of financial services products Strong research, investigative and deductive skills Strong verbal and written communication skills Ability to research and interpret new rules and regulations Strong attention to detail Strong knowledge of MS Office and other relevant computer applications #J-18808-Ljbffr