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

J.W. Cole Financial, Inc. is seeking a highly motivated and energetic professional to join our compliance team in Tampa! The ideal candidate will have a background in the financial services industry. It is incumbent that the candidate be able to successfully interact with Financial Professionals to coach, educate and drive successful solutions for them. This role requires an individual who can identify opportunities, create efficiencies, and drive positive results working in a team-based environment. Accordingly, we are seeking a candidate who enjoys facing and overcoming challenges to identify solutions that benefit multiple parties. The successful candidate must also properly manage multiple priorities while keeping important stakeholders informed.

The Firm is currently only considering candidates living in the Tampa Bay area or is willing to relocate. FINRA Series 24 is required. Position is onsite.

Key Responsibilities:

• Review of gifts and entertainment reports for compliance with firm policies and procedures
• Review of and resolve identified issues with one or more of the following:
  • Checks and Security Blotters
  • Borrowing and Lending Arrangements
  • Control Capacity, Positions of Trust (POA, TTEE)
  • Outside Business Activities
  • Outside Brokerage Accounts
  • Consolidated Account Statements escalation review
  • Private Securities Transactions
  • Correspondence and Texting Reviews
  • Political Contribution Reviews
  • Escalated Emails
• Responsible for assisting with the onboarding of new advisors and non-registered associated person affiliation

Qualifications:

• Series 7 and 24 required
• Bachelor’s degree in finance, business or a related field preferred
• A minimum of 3 years’ experience in financial services
• General knowledge of various securities products and account types
• Ability to “think outside the box” and develop strategic, creative, and nuanced solutions while always seeking opportunities for improvement
• Ability to multitask to meet deliverable timelines
• 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

Job Type: Full-Time

Benefits: 

• 401(k)
• 401(k) matching
• Dental insurance
• Employee assistance program
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Education: High school or equivalent (preferred)

Experience: Broker/Dealer: 3 years (required)

License/Certification: Series 7 (required), Series 24 (required) 

Work Location: In person

To apply: Indeed: https://www.indeed.com/viewjob?jk=7896ff494e89866a&from=shareddesktop_copy