Compliance Analyst

Financial Services Firm in Tampa, Florida is seeking a Compliance Officer for a full-time position!

Responsibilities:

• Review of gifts and entertainment reports for compliance with firm policies and procedures


• Responsible for assisting with the onboarding of new advisors and non-registered associated person affiliation

Qualifications:

• Series 7.


• Series 24 required


• Bachelor's degree


• A minimum of 3 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 no...