REMOTE Compliance Associate

Lensa; Tampa (FL); Remote; USD 70,000 - 90,000; Full time

Job summary

A leading broker-dealer and registered investment advisor firm in Tampa is seeking two Compliance Associates. These roles focus on ensuring compliance of communications in the securities brokerage and investment advisory sectors. Candidates should have strong communication skills and at least three years of compliance experience in finance. The company promotes an inclusive environment and is committed to equal opportunity.

Qualifications

• At least 3 years of compliance experience in a financial environment.
• Active Series 7 & 24 registrations required.
• Series 53 & 4 registrations preferred.

Responsibilities

• Ensure all communications comply with laws and internal standards.
• Manage inquiries from financial advisors and regulators.
• Track communications using appropriate methods.

Skills

Compliance experience

Strong communication skills

Outgoing personality

Familiarity with Ad Review processes

Education

Bachelor's degree or equivalent experience

Job description

15 hours ago Be among the first 25 applicants

Lensa is the leading career site for job seekers at every stage of their career. Our client, Insight Global, is seeking professionals. Apply via Lensa today!

Job Description

A large broker-dealer and registered investment advisor firm located in Tampa is looking for 2 Compliance Associates to work within the securities brokerage and investment advisory organizations. These roles ensure that all retail communications comply with federal and state laws, insurance regulations, FINRA, SEC rules, and internal standards. Responsibilities include managing inquiries from financial advisors and regulators via platforms such as Salesforce, email, and phone calls, either handling them directly or escalating as needed. The role involves interpreting legal impacts on retail communications, communicating changes and issues to relevant stakeholders, and tracking communications using appropriate methods.

We are committed to creating inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity employer that considers all qualified candidates without regard to race, religion, sex, age, marital status, national origin, sexual orientation, citizenship status, disability, or other protected characteristics. If you need assistance or reasonable accommodations during the application or recruiting process, please contact Human Resources via the provided link. For more information on privacy and your rights, review Insight Global's policies and EEOC resources.

Skills and Requirements

• At least 3 years of compliance experience in a financial environment
• Active Series 7 & 24 registrations
• Bachelor's degree or equivalent experience
• Strong communication skills with internal and external stakeholders
• Outgoing personality with a positive attitude
• Familiarity with Ad Review processes
• Series 53 & 4 registrations (preferred but null in the original text)

Additional details include seniority level (Mid-Senior level), employment type (Full-time), and job function (Finance and Sales). The position is in the IT Services and IT Consulting industry. Candidates can learn more about similar roles and the application process.

Note: The job posting appears active based on the provided information.