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. In this role, you will be managing financial advisor and regulator inquiries through multiple platforms such as a Salesforce que, email, and phone calls to either handle them yourself or escalate to the appropriate team member. You will interpret the impact of laws on new and existing retail communication, communicate changes and issues to the impacted business unit, field and customers, and track communication using applicable methods.
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-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
Benefit packages for this role will start on the 31st day of employment and include medical, dental, and vision insurance, as well as HSA, FSA, and DCFSA account options, and 401k retirement account access with employer matching. Employees in this role are also entitled to paid sick leave and/or other paid time off as provided by applicable law.