Job Description
**Key Responsibilities**
Depending on level and area of focus, responsibilities may include:
+ Supporting or leading compliance program development, implementation, and oversight across various business units.
+ Assisting in the alignment of compliance processes with central compliance standards and regulatory requirements
+ Conducting compliance exams, testing, monitoring, and reporting, and surveillance activities.
+ Participating in regulatory examinations and internal audits, including preparation and response coordination.
+ Collaborating with internal stakeholders including AML, Compliance, Risk, and Legal to identify and resolve compliance issues.
+ Contributing to the design and delivery of compliance training and continuing education programs.
+ Supporting automation and process improvement initiatives to enhance compliance efficiency.
+ Serving as a liaison for compliance-related committees, projects, and cross-functional initiatives.
+ Advising business units on regulatory changes and risk mitigation strategies.
+ Coaching and mentoring junior compliance staff (for mid-to-senior level roles).
**Qualifications**
**Knowledge of:**
+ Regulatory frameworks including SEC, FINRA, OCC, FDIC, FRB, FFIEC; CFPB and other relevant agencies.
+ Securities and/or banking industry operations and financial products.
+ Risk management principles and compliance monitoring techniques.
**Skills in:**
+ Analytical thinking, researching and problem-solving compliance issues.
+ Effective communication-both written and verbal.
+ Project management and prioritization.
+ Microsoft Office Suite (Excel, PowerPoint, Word); familiarity with compliance systems/tools is a plus.
**Ability to:**
+ Work independently and collaboratively in a fast-paced environment.
+ Prioritizing tasks while adapting to changing regulatory landscapes and business needs.
+ Establish and maintain effective working relationships at all organizational levels
+ Maintain confidentiality and exercise sound judgment.
+ Interpret and apply policies and recommend improvements.
**Ideal Candidate Profiles**
We are seeking candidates across the following levels:
+ **Entry-Level** : Professionals with 1-3 years of experience in compliance, risk, audit, or related fields.
+ **Mid-Level** : Professionals with 4-7 years of experience, capable of managing projects and mentoring junior staff.
+ **Senior-Level** : Experts with 8+ years of experience, strategic thinkers who can lead programs and influence compliance culture.
**Education & Experience**
+ Bachelor's Degree required.
+ Relevant experience in securities, banking, or financial services compliance.
+ Equivalent combinations of education, training, and experience may be considered.
**Licenses/Certifications**
+ None required, though certifications such as CRCM, CAMS, or FINRA Series licenses are preferred.
**Location & Travel**
+ Roles are based in St. Petersburg, Florida (Must be local or have the ability to relocate prior to start date).
+ Travel requirements vary by role and level.
Job Tags
Work at office, Local area, Relocation,