Compliance Specialist

Where

Tampa, FL

What you'll be doing

The candidate provides support to branch and district offices of the company advisors including administrative, marketing, licensing, new business, and/or recruiting. Performs routine transactions, such as review and investigation of actions that trigger flags in various review systems. Conducts annual financial advisor compliance interviews/audits, including inspection of business practices and physical location. Assists in branch training, education and tracking of financial advisors. Manages required record retention. Performs other job related duties or special projects as assigned.

What your background should be

2-4 years of compliance experience preferred. Advanced knowledge of the products and services offered by the sales force. Advanced knowledge of FINRA, SEC and state rules and regulations. Direct experience supervising variable annuity products series 7 and series 24 required.

Required Schooling / Training

Bachelor Degree

Who is the client company

Concern about banking and financial services.

If you are interested in this position, send your resume to apply@kochdavis.com