J.W. Cole Financial, Inc.

Location: Tampa, FL

Overview

J.W. Cole is a Tampa-based Broker-Dealer and Registered Investment Adviser providing robust service, operational, product, compliance, and practice support to approximately 550 Financial Professionals nationwide. At J.W. Cole, we recognize that we are as much in the relationship business as we are in the financial services business. Therefore, we are passionate about the importance of strong relationships between our Financial Professionals, clients, and the Home Office staff.

About the Position

Branch Examiner

J.W. Cole is seeking a highly motivated, creative, solutions-oriented, and proactive professional to join our Compliance team on-site in Tampa!

This position will assist with the creation of annual inspection schedules, conduct branch examinations, write exam reports and resolve deficiencies. The position will act as an ambassador to the Firm by coaching and educating Financial Professionals to maintain productive and compliant.

The role requires a self-starter who can identify opportunities, develop solutions, create efficiencies, drive improvements, and achieve successful results, while working in a team-based culture. It is critical that the candidate be able to work in a dynamic and diverse environment, growing the firm’s successful and evolving compliance program, mitigating risk and successfully interacting with Financial Professionals to coach, educate and identify solutions. Accordingly, we are seeking a driven candidate who enjoys overcoming challenges, while seeking continual improvement opportunities to identify creative successes that benefit multiple parties.

This position is preferred on-site in Tampa, FL; however, remote candidates will be considered.

General Responsibilities:

• Assist with the creation of annual inspection schedules to effectively comply with regulatory supervision requirements.
• Coordinate travel and logistics to meet the yearly inspection requirements.
• Conduct branch examinations, draft and send reports to the field; track responses and resolve deficiencies.
• Utilize knowledge of industry rules to effectively tailor each examination to the individual risks of the given branch, based on particular branch characteristics.
• Communicate effectively with financial professionals.
• Assist with maintaining effective examination metrics.
• Participate in various Compliance and Home Office initiatives and projects. Assist with day-to-day compliance responsibilities as needed.
• Travel approximately 50% of the year.

Qualifications:

• Series 7 and 24
• 3+ years of Branch Office Exam experience.
• Effective communicator with strong relationship building skills.
• 5+ years’ experience within the financial services industry with general knowledge of FINRA and SEC rules and regulations.
• Highly motivated, passionate, energetic, and driven with a willingness to spearhead projects.
• Ability to work independently, prioritize multiple tasks, meet deadlines, and collaborate across functions.
• Service-oriented with the ability to not only understand the issues affecting Financial Professionals, but empathize with them and seek logical, equitable, and compliant solutions.
• General product suitability knowledge and familiarity with broker/dealer branch office operations and account paperwork.
• Excellent writing skills and proficient in verbal communication.

Job Type: Full-Time

Pay: from $80,000 - $90,000 annually

To apply: Email Resume to: Matt.Tomlin@jw-cole.com