TampaFLRecruiter Since 2001
the smart solution for Tampa jobs

Compliance Associate

Company: Independent Financial Partners (IFP)
Location: Tampa
Posted on: November 11, 2019

Job Description:

Compliance AssociateFounded in 2000 by CEO William Hamm, Jr., CFA, CFP--, CLU--, Independent Financial Partners ("IFP") is a privately-held, family-owned SEC Registered Investment Adviser firm and Broker Dealer based in Tampa, Florida. IFP is focused on delivering personalized, concierge-level service to its 500 advisors nationwide who specialize in wealth management and retirement plan consulting. IFP's mission is to improve the lives of our advisors and their clients by providing the tools and support needed for our Advisors to maintain and grow their practices, including forward thinking compliance the industry's most innovative technology, multi-faceted back office support, and a commitment to continuously improving our value proposition. IFP seeks a Compliance Associate to join a dynamic team in the development and implementation of the IFP's compliance and supervisory system for the B/D and the RIA. Responsibilities include: --- Assist in developing processes and procedures to ensure adherence to supervision and compliance rquirements as required by FINRA, SEC, State and other regulators--- Review electronic and written correspondence--- Assist with administration of the firm's personal trading policy, including, monitoring employee personal trading activities, resolving exceptions and maintaining satisfactory records --- Monitor effectiveness of policies and procedures and suggest changes as required--- Research issues and ad hoc reports--- Assist in administrative functions related to disclosures --- Builds and maintains a broad knowledge base of the securities industry (regulatory, markets, products, processes, and operational methodologies)--- Educates and train internal and external team members by determining needs, providing various alternatives of action, and explaining specifics of each product or service--- Interpreting, applying, and recommending changes to organizational policies and procedures.--- Other duties as assigned Skills, Experience and Qualifications: --- Bachelor degree or equivalent work experience--- 1-3 years of experience in compliance and/or operations role with a B/D and/or RIA --- FINRA Series 7 preferred--- Ability to multi-task, work well under pressure and function in a fast-paced environment --- A positive and service orientated attitude --- Intuitive, energetic, and self-motivated with a high bias for action--- Strong aptitude for technology --- Proficiency in Microsoft Word, Outlook, and intermediate/advanced Microsoft Excel knowledge--- Ability to work additional hours as needed IFP offers a comprehensive employee benefits package including: --- 401(k) Match - 50% of the first 6% contributed--- Performance Bonuses (potential bonus benefit when qualified) --- Full Health Insurance Premiums--- Paid Time Off

Keywords: Independent Financial Partners (IFP), Tampa , Compliance Associate, Other , Tampa, Florida

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category
within


Other Other Jobs


Honor Bar Attendant Part-Time - The Ritz-Carlton, Sarasota - (19137201)
Description: Honor Bar Attendant Part-Time At more than 80 award-winning properties worldwide, The Ritz-Carlton Ladies and Gentlemen create experiences so exceptional that long after a guest stays with us, the experience (more...)
Company: Marriott International, Inc.
Location: Sarasota
Posted on: 11/21/2019

Members Beach Club Towel Attendant - The Ritz-Carlton, Sarasota - (19147086)
Description: Members Beach Club Towel Attendant At more than 80 award-winning properties worldwide, The Ritz-Carlton Ladies and Gentlemen create experiences so exceptional that long after a guest stays with us, the (more...)
Company: Marriott International
Location: Sarasota
Posted on: 11/21/2019

Lead Teller Siesta Key
Description: Job Description br Important Note: During the application process, ensure your contact information email and phone number is up to date and upload your current resume prior to submitting your application (more...)
Company: Wells Fargo Bank
Location: Sarasota
Posted on: 11/21/2019


Work From Home
Description: We are actively growing and are looking for self-motivated and teachable to fill our postiiong. We are looking for people that will take pride in helping
Company: Health Inc.
Location: Sarasota
Posted on: 11/21/2019

PRN
Description: 1 Fall Special 1 13 br Recruitment Advertising Are you hiring 13 br Do you need to fill open positions for season, Full-time,
Company: Herald-Tribune Media Group
Location: Sarasota
Posted on: 11/21/2019

Mortgage Loan Officer
Description: CrossCountry Mortgage is more than a mortgage When we started in 2003, our President and CEO Ronald J. Leonhardt, Jr., had the vision to become a nationwide full-service lender that could provide more (more...)
Company: CrossCountry Mortgage, LLC.
Location: Sarasota
Posted on: 11/21/2019

New Graduate Nurse Residency Program - Surgery
Description: Description SHIFT: Days rotating weekends SCHEDULE: Full-time Join our HCA Nurse Residency Program Founded in 1967, Doctors Hospital of Sarasota is a 155 bed facility located on a wooded campus, (more...)
Company: Doctors Hospital of Sarasota
Location: Sarasota
Posted on: 11/21/2019

Registered Nurse (RN) Med/Surg
Description: Description SHIFT: Days rotating weekends SCHEDULE: Full-time Our Medical Surgical teams are a committed, caring group of colleagues. We have a passion for creating positive patient interactions. (more...)
Company: Doctors Hospital of Sarasota
Location: Sarasota
Posted on: 11/21/2019

Server-Ridley's Porch- Part-Time - The Ritz-Carlton (1700290Y)
Description: Server-Ridley 039 s Porch- Part-Time We make stories like this possible every day. Whether were helping a budding chef create a favorite meal, or an anxious dad find a camera full of memories, were proud (more...)
Company: Marriott
Location: Sarasota
Posted on: 11/21/2019

Brnch Sls & Srvc Assoc I (MLO)
Description: Position Overview br br At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve. We are all united in delivering the best experience for our customers. (more...)
Company: PNC Financial Services Group
Location: Sarasota
Posted on: 11/21/2019

Log In or Create An Account

Get the latest Florida jobs by following @recnetFL on Twitter!

Tampa RSS job feeds