Compliance Officer, Financial Services - Tampa
Calton & Associaties
Calton & Associates, Inc. is seeking a Compliance Officer in Tampa, FL. This role involves developing and overseeing the firm's compliance program, ensuring adherence to regulations. Responsibilities include guiding registered representatives, conducting compliance training, and monitoring business practices. The ideal candidate should possess relevant licenses (Series 7, 66, 63, & 24 or 9/10) and strong knowledge of FINRA and SEC regulations, coupled with excellent communication and investigative skills. A commitment to maintaining high compliance standards is essential. #J-18808-Ljbffr
Vacancy posted 1 day ago
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