Compliance Officer
The Pontem Group
-
Tampa, FL 33602
Temporarily remote
Job details
Salary
$90,000 a year
Job Type
Full-time
Benefits
Pulled from the full job description
• Pay:
• $90,000.00 per year
• 401(k)
• Health insurance
• Professional development assistance
Full Job Description
Our client, who runs a firm for a Fortune 500 financial planning firm and Independent Broker Dealer is in searching for a professional to head up their compliance department. Our client is Tampa.
The candidate will report to the head of the organization and will help guide 100+ financial advisors when it comes to local compliance supervision. The position will also serve as a liaison between the corporate offices and the local office on new training and procedures.
The candidate should have experience working in investment supervision, have the appropriate FINRA Licenses to run branch office supervision (Series 7, 66, 9 and 10). Someone with FIELD experience, interacting with financial advisors, building relationships and able to have professional yet difficult conversations is necessary for the role.
Requirements:
- 10 years in financial services
- Bachelors Degree
- FINRA SERIES 7, 66, 9 and 10
- No Broker Check Issues
Job Type: Full-time
Pay: $90,000.00 per year
Benefits:
• 401(k)
• Health insurance
• Professional development assistance
Schedule:
• Monday to Friday
Education:
• Bachelor's (Required)
License:
• series 9 (Required)
• series 7 (Required)
• series 66 (Required)
• series 10 (Required)
Work authorization:
• United States (Required)
Work Remotely:
• Temporarily due to COVID-19