Compliance Officer

Calton & Associates, Inc. is currently seeking an experienced Compliance Officer to join our team in Tampa, FL.

Calton & Associates, Inc. Overview
Calton & Associates is a one of the nation’s long-standing independent broker/dealers, and is also a registered investment adviser.  Founded in 1987, Calton & Associates has built a solid foundation for supporting independent representatives and financial advisors and the growth of their business.  Through a comprehensive range of financial products and services, Calton & Associates helps advisors pursue the appropriate financial solutions to support their clients’ needs.  With over 100 offices nationwide Calton & Associates is a family friendly broker/dealer for quality advisors who want independence along with support to grow their business.

Job Description

Support the Chief Compliance Officer in administering the BD and RIA compliance programs.  Identify irregularities, and potential areas of risk; develop and implement corrective action plans for resolution, and help to mitigate future risk.

Essential Job Duties & Responsibilities

  • Review advertising pieces for compliance with firm policies and procedures and industry regulations.
  • Monitor and report on periodic compliance exception reports.  
  • Conduct examinations of branch offices.  
  • Assist in the preparation for regulatory examinations, arbitrations; respond to verbal and written inquiries and requests.
  • Monitor and review representatives’ outside business activities.
  • May review customer complaints and resolves or escalates as necessary.
  • Provides assistance and guidance to registered representatives regarding compliance issues, firm policies and procedures and industry regulations.

Education and Experience

  • Bachelor’s degree
  • Relevant work experience: minimum 2 years
  • Series 7 & 24 required

Skills and Abilities

  • Strong knowledge of FINRA, SEC and state regulations
  • Solid verbal and written communication skills
  • Strong research, investigative and interpretation skills
  • Ability to research and interpret new rules and regulations
  • Strong attention to detail
  • Must be able to work independently
  • Strong knowledge of financial services products
  • Strong knowledge MS Office and other relevant computer applications
  • Travel up to 25%

Compensation and Benefits

  • Base salary
  • Company profit sharing plan
  • Company 401(k) and matching program
  • Medical coverage
  • Dental coverage
  • Life insurance coverage

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