Compliance Officer

Company Overview

J.W. Cole is a growing and robust Tampa-based Investment Adviser and Broker-Dealer, providing outstanding advisory, operational, product, compliance, and practice services and 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.

Job Summary

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 minimum of 3+ years’ experience within the financial services industry, including experience working with Financial Professionals. This candidate will provide expertise and creativity to help drive successful internal initiatives, while effectively consulting with our Financial Professionals as business partners.

It is critical 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 effectively interacting with Financial Professionals to coach, educate and identify solutions.

Accordingly, we are seeking a driven candidate who enjoys overcoming challenges, while seeking continual improvement opportunities to identify creative successes that benefit multiple parties.

This position is based on-site in Tampa, FL.

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

Responsibilities

Responsibilities include but are not limited to the review and resolution of identified issues in the following areas to ensure compliance with Firm policies and procedures.

• Gift and Entertainment Reporting
• Checks and Security Blotters
• Borrowing & Lending Arrangements, Control Capacity/Positions of Trust (POA, TTEE)
• Outside Business Activities
• Outside Brokerage Accounts
• Consolidated Account Statements and Escalations
• Private Securities Transactions
• Correspondence and Texting Reviews
• Political Contribution Reviews
• Email Reviews
• Rep.Client Address Reports
• Rep Licensing Violations
• ADV 2B Creation, Edit
• Other Duties as Assigned

In addition, this position

• Assists with the onboarding of new advisors and non-registered associated persons
• Reviews WSPs, offer improvements and assist with edits
• Reviews, edits and writes desktop procedures
• Communicates with Financial Professionals as a partner
• Maintains required books and records for all activities.
• Other duties as assigned.

Skills

• Ability to work independently, prioritize multiple tasks, meet deadlines, and collaborate across functions.
• Ability to “think outside the box” while adhering to written policies and procedure guidance
• Excellent written, verbal, and interpersonal communication skills.
• Strong problem-solving and critical-thinking abilities with exceptional attention to detail.
• Highly motivated, self-directed, and committed to providing exceptional service while meeting established deadlines.
• Service and relationship-oriented with the ability to not only understand the issues affecting Financial Professionals, but empathize with them and seek logical, equitable, and compliant solutions.
• Employment is contingent upon the successful completion of a background check and providing valid documentation establishing identity and employment eligibility.

Requirements

• This position is performed primarily in a professional office environment. Essential functions of the position require prolonged periods of sitting, working at a computer, and communicating with others in person, by telephone, and electronically. The position may also require occasional standing, walking, bending, and lifting or carrying items weighing up to 10 pounds.
• Proficiency with Microsoft Office including Excel, Word, and Outlook is required.
• Experience with Redtail or similar CRM/database is preferred.
• J.W. Cole provides reasonable accommodations for qualified individuals with disabilities, enabling them to perform the essential functions of the position, unless doing so imposes an undue hardship on the Company.

U.S. Eligibility Requirements

• Must be 18 years of age or older.
• Must be legally authorized to work in the United States at the time of hire.
• J.W. Cole does not sponsor employment visas for this position.

Job Type and Schedule: Full Time Salaried Position, Monday to Friday

Education: High school or equivalent (Required)

Experience: Broker/Dealer/RIA: 3+ years (Required)

License/Certification: Series 7 and 24 (or 9/10) required

Work Location: In person, on-site in Tampa, FL

Benefits

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

Application Question(s)

• Are you prepared to work on-site, 5 days per week in Tampa, FL as required by the position?

Experience

• Broker/Dealer or RIA: 3 years (Required)

License/Certification

• Series 24 (or 9/10) (Required)

Work Location: In person