Job Description
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 no...