Position: Compliance Officer
Location: Tampa, FL
Calton & Associates is currently seeking an experienced Compliance Officer to join our team
and provide support to the Chief Compliance Officer in administering the broker dealer and RIA
compliance programs. This position will be responsible for identifying irregularities, as well as
potential areas of risk. The Compliance Officer will also aid in developing and implementing
corrective action plans for resolution and help mitigate future risk.
Essential Job Duties & Responsibilities
- Review advertising pieces for compliance with firm policies and procedures and industry
- 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 applicationsv
- 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