Compliance Officer
Social Capital Resources
Financial Services Firm in Tampa, Florida is seeking a Compliance Officer for a full-time position!
Responsibilities:
- Conduct surveillance reviews and analyze activity to identify potential risks, trends, and exceptions.
- Recommend and implement enhancements to monitoring processes, controls, and reporting.
- Maintain documentation, escalate issues as appropriate, and support ongoing risk oversight efforts.
- Review account and trading activity for adherence to internal policies and regulatory requirements.
- Partner with Compliance and business leaders to develop and maintain policies, procedures, and supervisory controls.
Qualifications:
- Series 7.
- Series 24 required
- Bachelor’s degree
- A minimum of 5 years’ experience in financial services.
- General knowledge of various securities products and account types.
- Ability to “think outside the box” and develop strategic, creative, and nuanced solutions while always seeking opportunities for improvement.
- Service-oriented with the ability to not only understand the issues affecting Financial Professionals, but empathize with them and seek logical, equitable, and compliant solutions.
Vacancy posted 4 days ago
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