J.W. Cole Financial, Inc.

Location: Tampa, FL

Overview

J.W. Cole is a Tampa-based Investment Adviser and Broker-Dealer providing robust advisory, brokerage, insurance, operational, product, compliance, business and practice support services to approximately 500 Financial Professionals nationwide. As an advocate for Financial Professionals and their clients, 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 partnering  and fostering strong relationships between our Home Office staff, Financial Professionals and clients.

Position:

J.W. Cole is seeking a highly motivated, experienced and proven leader to help lead our compliance department as Deputy CCO.  Reporting to the General Counsel/CCO, this leader will co-lead the Compliance management team and help drive the strategy and vision for the department, while also being a mentor, coach and educator to the team’s compliance professionals. The Deputy CCO is a senior leadership position in the organization, participating in various corporate committees, recruiting activities and regularly interacting with and advising executive leadership.  To that end, the ideal candidate must be an excellent communicator, inspire a diverse team of professionals, drive our firm’s advisory and broker-dealer compliance programs, and demonstrate results, while actively participating in various compliance and corporate initiatives. As necessary, the candidate also must be able to effectively interact with securities regulators at federal and state levels.

Importantly, the candidate must utilize his/her experience and knowledge to proactively identify and rectify potential risks, drive successful solutions for multiple constituents, and always seek to create efficiencies while maintaining a successful compliance program. The role requires an individual who is self-driven, motivated, creative and can achieve successful results working in a team-based, dynamic and diverse environment, fostering the firm’s successful culture, and successfully communicating, partnering and interacting with Financial Professionals to coach, educate and drive successful solutions. As such, we are seeking a candidate who enjoys facing and overcoming challenges to identify creative solutions that benefit multiple parties.

Responsibilities:

• In partnership with the CCO, establish the strategy for the firm’s compliance program.
• Oversight the Compliance Department’s branch inspection, AML, marketing review, testing, training, registration, advisory, surveillance and operations programs.
• Continually evaluate the effectiveness and efficiency of the program by maintaining metrics to measure the strategy, innovate, and identify areas for development. 
• Establish deep relationships across departments, business functions and field constituents to promote a holistic compliance process and approach.
• Monitor the regulatory and competitive landscape to maintain effective policies, processes and oversight, evolving as necessary.
• Utilize trends and data to proactively identify potential “red flags” and work to resolve the issues before they become problems.
• Utilize experience and knowledge of industry rules to help, coach, teach and increase the capabilities and effectiveness of team members. 
• Partner with Financial Professionals to develop an in-depth understanding of their business practices, provide applicable coaching, and seek feedback for departmental improvement opportunities.
• Establish efficient and creative methods, procedures and processes for Financial Professionals to achieve success while maintaining effective field compliance.
• Lead corporate projects to embrace efficiencies and compliance with securities rules and regulations.
• Interact and effectively communicate with senior management to explain and resolve risks, identify areas for enhancement within and outside the department, and help drive J.W. Cole’s growing business model.

Qualifications:

• A minimum of 10 to 15 years’ experience in the financial services environment. 
• Series 7 and 24 required (or 9/10), Series 4 and 53 a plus.
• Demonstrable strong knowledge of SEC, FINRA and state securities rules and regulations, as well as industry standards.
• Must be highly motivated, energetic, and driven with a willingness to spearhead projects, conduct independent research, and promptly deliver.
• Effectively cooperate and coordinate with various constituents. 
• Proven track record of delivering results and successfully motivating and leading individuals to achieve.
• Ability to “think outside the box” and develop strategic, creative, and nuanced solutions while always seeking opportunities for improvement. 
• Good knowledge of various securities product and account types. 
• 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.

This is a Tampa-based position (onsite)

To apply: https://jobs.financialcareers.org/job/deputy-cco/80767777/