National Society of Compliance Professionals · 13 hours ago
Compliance Officer - J.W. Cole Financial, Inc.
Greater Tampa Bay Area
Full-time
Onsite
Mid, Senior Level
5+ years expJ.W. Cole Financial, Inc. is a Tampa-based Broker-Dealer and Registered Investment Adviser providing robust service to Financial Professionals nationwide. They are seeking a highly motivated Compliance Officer to review advertising and marketing materials, ensuring compliance with industry rules and regulations while consulting with Financial Professionals to identify solutions and drive improvements.
ComplianceEducationFinancial ServicesNon ProfitProfessional Services
Responsibilities
Review advertising and marketing materials within stated turn-around times ensuring compliance with industry rules and regulations and firm policies
Review social media posts and related social media policy compliance
Interact with Financial Professionals to coach, advise and identify solutions to common challenges
Contact Financial Professionals as business partners to professionally resolve all issues and concerns; offer reasonable changes and suggestions to achieve an amicable resolution
Provide oversight of financial planning agreements to ensure adherence to firm policies
Provide pre-review and oversight of Vendor Due Diligence Meetings and Vendor Marketing Reimbursement requests
Lead the Firm’s non-cash compensation program to help ensure gifts, gratuities and wholesaler reimbursement are consistent with industry regulations or firm policies
Work with Financial Professionals to resolve all deficiencies and provide solutions to issues
Maintain required books and records for all activities
Other duties as assigned
Qualification
Required
Series 7 and 24
3-5 years of Advertising and Marketing review experience
Significant experience within the financial services industry
Highly motivated, passionate, energetic, and driven with a willingness to spearhead projects
Ability to work independently, prioritize multiple tasks, meet deadlines, and collaborate across functions
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
High school or equivalent (Required)
Broker/Dealer: 5 years (Required)
Series 7 and 24 (Required)
In person, on-site in Tampa, FL
Benefits
401(k)
401(k) matching
Profit Sharing
Health insurance
Dental insurance
Vision insurance
Life insurance
Employee assistance program
Paid time off
Company
National Society of Compliance Professionals
National Society of Compliance Professionals is a non-profit organization that enables regulatory support in the financial industry.
2-10 employees
Funding
Current Stage
Early StageRecent News
2024-10-30
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