Overview

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.

Responsibilities

• Manage financial advisor and regulator inquiries through multiple platforms such as a Salesforce queue, email, and phone calls, handling them directly or escalating to the appropriate team member.
• Interpret the impact of laws on new and existing retail communications, communicate changes and issues to the impacted business unit, field and customers, and track communication using applicable methods.

EEO and Privacy

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