About this opportunity
Social Capital Resources lists this Chief Compliance Officer opportunity in tampa, Florida. Review the employer’s description below for duties, qualifications and application requirements.
Job description
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
Worksite address
tampa, FL, 33601, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.