REMOTE Compliance Associate

Overview A large broker-dealer and registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and investment advisory organizations. This person ensures that all retail communication complies with states and federal laws, state insurance regulations, FINRA and SEC rules and regulations, and internal company standards. Responsibilities Manage financial advisor and regulator inquiries through multiple platforms such as a Salesforce queue, email, and phone calls, handling them directly or escalating to the appropriate team member. Interpret the impact of laws on new and existing retail communications, communicate changes and issues to the impacted business unit, field and customers, and track communication using applicable methods. EEO and Privacy We are a company committed to creating inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity employer that believes everyone matters. Qualified candidates will receive consideration for employment opportunities without regard to race, religion, sex, age, marital status, national origin, sexual orientation, citizenship status, disability, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to Human Resources Request Form ( The EEOC "Know Your Rights" Poster is available here ( To learn more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy: . Skills and Requirements 3 years of experience within compliance in a financial environment Series 7 & 24 registrations — must be currently active Bachelor's degree or equivalent experience Great communication to internal stakeholders and external partners Outgoing personality with the ability to maintain positivity in the workplace Familiarity with Ad Review Series 53 & 4 registrations #J-18808-Ljbffr Insight Global