Jr. Compliance Officer
National Society of Compliance Professionals2 days ago
Highlight
OnsiteFull-timeEntry
Summary
J.W. Cole Financial, Inc. is seeking a Jr. Compliance Officer to join their compliance team in Tampa, FL. The role involves reviewing compliance reports and assisting with onboarding new advisors.
About the Role
As a Jr. Compliance Officer, you will be responsible for reviewing gifts and entertainment reports, resolving compliance issues related to various financial activities, and assisting with the onboarding of new advisors. You will work closely with Financial Professionals to coach and educate them on compliance matters, while managing multiple priorities in a team-based environment.
About You
Required:
- Series 7 and 24 licenses required.
- A minimum of 3 years’ experience in financial services.
Preferred:
- Bachelor’s degree in finance, business or a related field preferred.
- General knowledge of various securities products and account types.
Benefits
- 401(k)
- 401(k) matching
- Dental insurance
- Employee assistance program
- Health insurance
- Life insurance
- Paid time off
- Vision insurance
National Society of Compliance Professionals
The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry. NSCP is for compliance, by compliance. NSCP membership provides financial services compliance professionals with a wide range of resources including a community of like-minded peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests.
Tampa, FL