REMOTE Compliance Associate

Lensa; Tampa (FL); Remote; USD 70,000 - 100,000; Full time

Job summary

A well-established financial firm in Tampa seeks two Compliance Associates to ensure adherence to compliance regulations. This role involves managing communications, interpreting laws, and collaborating with internal teams to maintain regulatory standards. The ideal candidate will have relevant experience and active financial registrations.

Qualifications

• 3 years of experience in compliance within a financial environment.
• Series 7 & 24 registrations must be currently active.
• Familiarity with Ad Review.

Responsibilities

• Ensure compliance with federal and state laws and internal standards.
• Manage inquiries from financial advisors and regulators.
• Interpret the impact of laws on retail communication.

Skills

Communication

Compliance

Outgoing personality

Education

Bachelor's degree

Job description

3 days ago Be among the first 25 applicants

Lensa is a career site that helps job seekers find great jobs in the US. We are not a staffing firm or agency. Lensa does not hire directly for these jobs, but promotes jobs on LinkedIn on behalf of its direct clients, recruitment ad agencies, and marketing partners. Lensa partners with DirectEmployers to promote this job for Insight Global.

Job Description

A large broker-dealer and registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and investment advisory organizations. This person ensures that all retail communication complies with states and federal laws, state insurance regulations, FINRA and SEC rules and regulations, and internal company standards. In this role, you will be managing financial advisor and regulator inquiries through multiple platforms such as a Salesforce que, email, and phone calls to either handle them yourself or escalate to the appropriate team member. You will interpret the impact of laws on new and existing retail communication, communicate changes and issues to the impacted business unit, field and customers, and track communication using applicable methods.

We are a company committed to creating inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity employer that believes everyone matters. Qualified candidates will receive consideration for employment opportunities without regard to race, religion, sex, age, marital status, national origin, sexual orientation, citizenship status, disability, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to Human Resources Request Form (https://airtable.com/app21VjYyxLDIX0ez/shrOg4IQS1J6dRiMo) . The EEOC "Know Your Rights" Poster is available here (https://www.eeoc.gov/sites/default/files/2023-06/22-088_EEOC_KnowYourRights6.12ScreenRdr.pdf) .

To learn more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy: https://insightglobal.com/workforce-privacy-policy/ .

Skills And Requirements

• 3 years of experience within compliance in a financial environment
• Series 7 & 24 registrations -- must be currently active
• Bachelor's degree or equivalent experience
• Great communication to internal stakeholders and external partners
• Outgoing personality with the ability to maintain positivity in the workplace -Familiarity with Ad Review
• Series 53 & 4 registrations null
  
  

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal employment opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment without regard to race, color, ethnicity, religion,sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military oruniformed service member status, or any other status or characteristic protected by applicable laws, regulations, andordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or the recruiting process, please send a request to [e-mail].

If you have questions about this posting, please contact [e-mail]

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance and Sales

• Industries

  IT Services and IT Consulting

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