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,

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