Compliance Officer

J.W. Cole Company Profile

J.W. Cole is a Tampa-based Broker-Dealer and Registered Investment Adviser providing robust service, operational, product, compliance, and practice support to approximately 500 Financial Professionals nationwide. At J.W. Cole, we recognize that we are as much in the relationship business as we are in the financial services business. Therefore, we are passionate about the importance of strong relationships between our Financial Professionals, clients, and the Home Office staff.

Compliance Analyst

J.W. Cole Financial, Inc. is seeking a highly-motivated, creative, solutions-oriented, and proactive professional to join our Compliance team on-site in Tampa! The ideal candidate will have a background in the financial services industry. This position will be a broad-based, dynamic compliance role focused on compliance supervisory reviews, field surveillance, field education initiatives, and creating field solutions, among other opportunities. This candidate will be expected to help drive internal initiatives while also effectively consulting with our Financial Professionals. This role requires an individual who can identify opportunities, create efficiencies, drive improvements and achieve successful results working in a team-based environment. It is incumbent that the candidate be able to work in a dynamic and diverse environment growing the firm’s successful and evolving compliance program, mitigating risk and successfully interacting with Financial Professionals to coach, educate and create solutions. Accordingly, we are seeking a driven candidate who enjoys facing and overcoming challenges, while seeking continual improvement opportunities to identify creative successes that benefit multiple parties.

Given the importance of team dynamics and our partnering culture, candidates seeking a remote position will not be considered.

Responsibilities:

• Work throughout the department to gain broad-based compliance knowledge.
• Work across corporate teams to understand potential threats to the firm and/or Financial Professionals and strive to eliminate such threats and prevent their re-occurrence.
• Anticipate and identify future needs, opportunities, and potential compliance solutions.
• Serve as a positive, proactive change agent to drive continual improvement.
• Execute compliance risk management activities in accordance with firm compliance standards.
• Coordinate and work closely with the firm’s field office inspection program.
• Communicate effectively with Financial Professionals, have an in-depth understanding of their field practices, and help them identify important opportunities and solutions.
• Use industry knowledge to effectively coach and assist Financial Professionals when deficiencies are discovered, and have direct conversations as needed, in order to prevent future issues.

Qualifications:

• Experience in the financial services environment.
• Series 7 and 24 - (or Series 7 and able to obtain 24 within first 120 days of employment)
• Knowledge of the securities and industry regulations.
• Must be highly motivated, energetic, and driven with a willingness to spearhead projects.
• Ability to multitask and pivot, when necessary, in a fast-paced environment to meet deliverables.
• Service-oriented with the ability to not only understand the issues affecting Financial Professionals, but empathize with them and seek logical, equitable, and compliant solutions.

Job Type: Full-time

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Employee assistance program
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Schedule:

• 8 hour shift
• Monday to Friday

Education:

• High school or equivalent (Required)

Experience:

• Broker/Dealer: 3 years (Preferred)

License/Certification:

• Series 7 (Required)
• Series 24 (Preferred)

Work Location: In person