Description

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 550 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 Officer

J.W. Cole Financial, Inc. is seeking a highly motivated and energetic professional to join our compliance team in Tampa! The ideal candidate will have a background in the financial services industry to help drive broker-dealer and investment advisory initiatives and regularly consult with our Financial Professionals. It is incumbent that the candidate be able to work in a dynamic and diverse environment maintaining the Firm’s strong compliance program, mitigating risk and successfully interacting with Financial Professionals to coach, educate and drive successful solutions for them. This role requires an individual who can identify opportunities, create efficiencies, and drive positive results working in a team-based environment. Accordingly, we are seeking a candidate who enjoys facing and overcoming challenges to identify solutions that benefit multiple parties. The successful candidate must also properly manage multiple priorities while keeping important stakeholders informed. Lastly, the candidate must have a strong knowledge of broker-dealer and investment advisory rules and regulations.

The Firm is currently only considering candidates living in the Tampa Bay area or is willing to relocate. Position is onsite.

Key Responsibilities:

• Develop and implement compliance policies and procedures to meet legal, regulatory, and ethical standards.
• Monitor changes in regulations and laws relevant to the organization and provide guidance to ensure compliance.
• Conduct various surveillance reviews of accounts, transactions, and communications to identify potential compliance issues, trends, or risks, and escalate or resolve them as appropriate
• Assist in planning and conducting branch office examinations in accordance with FINRA guidelines
• Collaborate with various departments to promote a culture of compliance and ethical behavior.
• Provide training and education to employees on compliance-related topics and company policies.
• Develop and maintain compliance documentation, including manuals, reports, and books and records.
• Assist with licensing and registration matters for Financial Professionals, including initial registration, renewals, and maintaining compliance with state and FINRA requirements.
• Work across teams to understand potential threats to the Firm and/or Financial Professionals and strive to eliminate such threats and prevent their re-occurrence.
• 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, to prevent future issues.

Requirements

• Series 7 and 24 required. Series 66 a plus.
• Bachelor’s degree in finance, business or a related field preferred
• A minimum of 3-5 years’ experience in financial services compliance or supervision.
• Advanced knowledge of FINRA, Investment Advisers Act, SEC, and state securities rules and regulations.
• General knowledge of various securities products and account types.
• Ability to “think outside the box” and develop strategic, creative, and nuanced solutions while always seeking opportunities for improvement.
• 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.