Rapidly growing Financial Services firm based in Tampa, Florida is seeking a Chief Compliance Officer for a full-time position!
Responsibilities:
- Responsible for running and managing a compliance program for U.S. FINRA-registered broker-dealer.
- Tasked with establishing, maintaining, and enhancing the firm’s broker-dealer compliance framework, ensuring full compliance with applicable SEC and FINRA rules.
- Advise senior management on regulatory developments, compliance risks, and control enhancements
- Manage an existing team of compliance professionals and continue building out
- Lead regulatory examinations, inquiries, and ongoing engagement with FINRA and the SEC
- Build and manage a high-performing compliance team supporting the broker-dealer
Qualifications:
- Bachelor's Degree
- 10+ years of relevant compliance experience, specifically in a U.S. FINRA-registered broker-dealer.
- Prior experience in a fin-tech based firm is a plus
- Previous management experience is a must
- Strong and established experience working directly with the various regulators
Chief Compliance Officer in Tampa at Social Capital Resources
This position is listed as full time and onsite. It was posted 5 days ago.