Job Description
A large broker-dealer and registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and investment advisory organizations. This person ensures that all retail communication complies with states and federal laws, state insurance regulations, FINRA and SEC rules and regulations, and internal company standards. In this role, you will be managing financial advisor and regulator inquiries through multiple platforms such as a Salesforce que, email, and phone calls to either handle them yourself or escalate to the appropriate team member. You will interpret the impact of laws on new and existing retail communication, communicate changes and issues to the impacted business unit, field and customers, and track communication using applicable methods.

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