Compliance & Supervision Manager

Larson Maddox; Tampa (FL); Hybrid; USD 70,000 - 80,000; Full time

Job summary

Larson Maddox is seeking a Compliance & Supervision Manager in Tampa, FL to oversee investment and advisory activities and foster a strong culture of regulatory compliance. You will partner with financial professionals and internal stakeholders to review activity, provide guidance, and ensure adherence to policies and industry requirements.

The role emphasizes risk assessment, training, and enhancing supervisory processes, with hybrid work and opportunities to lead regulatory initiatives and

Qualifications

• 3+ years in compliance, supervision, risk management, or financial services.
• Experience in broker-dealer, investment advisory, or wealth management environments preferred.
• Familiarity with SEC, FINRA, and related financial regulations.

Responsibilities

• Review client activities for regulatory and supervisory compliance.
• Conduct account and transaction reviews and document findings.
• Provide guidance on firm policies and regulatory expectations.
• Assist with approvals for business activities and client accounts.
• Monitor reports to identify risks and escalate issues.
• Collaborate with Compliance, Operations, Legal, and business teams on risk management.
• Support regulatory initiatives, internal reviews, and special projects.
• Contribute to training programs for advisors and support personnel.
• Help enhance supervisory processes and controls.

Skills

Analytical Thinking

Regulatory Knowledge

Communication

Multitasking

Education

Bachelor's degree preferred

Job description

Compensation

Compensation: $70,000 - $80,000 + annual bonus

Compensation: $70,000 - $80,000 + annual bonus

Location

Tampa, FL (Hybrid)

Employment Type

Full-Time

Overview

A financial services organization is seeking a Compliance & Supervision Manager to support the oversight of investment and advisory activities while helping maintain a strong culture of compliance and risk management.

This position will work closely with financial professionals and internal stakeholders to review business activity, provide regulatory guidance, identify potential risks, and ensure adherence to internal policies and industry requirements.

Key Responsibilities

• Review and evaluate client-facing business activities for adherence to regulatory and supervisory standards.
• Conduct account and transaction reviews to identify potential risks and ensure appropriate documentation.
• Provide guidance to financial professionals on firm policies, regulatory expectations, and best practices.
• Assist with approvals related to business activities, client accounts, and other supervision-related matters.
• Monitor reports and trends to identify areas of concern and elevate issues when necessary.
• Partner with Compliance, Operations, Legal, and business teams to support effective risk management.
• Participate in regulatory initiatives, internal reviews, and special projects.
• Assist with training and education programs for advisors and support personnel.
• Help enhance supervisory processes, controls, and overall compliance effectiveness.

Qualifications

• 3+ years of experience within compliance, supervision, risk management, or financial services.
• Knowledge of broker-dealer, investment advisory, or wealth management environments.
• Familiarity with SEC, FINRA, and general financial services regulations.
• Strong analytical, investigative, and problem-solving abilities.
• Excellent communication and relationship-building skills.
• Ability to manage multiple priorities in a fast-paced environment.
• Bachelor's degree preferred.

Required Licenses

• FINRA Series 7
• FINRA Series 24
• Series 63, 65, or 66