Compliance & Supervision Manager – Financial Services

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

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