Senior Compliance Officer, Surveillance

Financial Services Firm in Tampa, Florida is seeking a Compliance Officer for a full-time position!

Responsibilities:

• Review of gifts and entertainment reports for compliance with firm policies and procedures
• Responsible for assisting with the onboarding of new advisors and non-registered associated person affiliation

Qualifications:

• Series 7.
• Series 24 required
• Bachelor's degree
• A minimum of 3 years' experience in financial services.
• General knowledge of various securities products and account types.
• Ability to "think outside the box and develop strategic, creative, and nuanced solutions while always seeking opportunities for improvement.
• Service-oriented with the ability to not only understand the issues affecting Financial Professionals, but empathize with them and seek logical, equitable, and compliant solutions.