J.W. Cole Financial, Inc.

Location: Tampa, FL (on-site)

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

The Senior Compliance Officer-Field Oversight is responsible for performing supervisory surveillance and investment advisory oversight activities across the Broker-Dealer and Registered Investment Adviser platforms. This role supports the firm’s compliance and risk management framework through ongoing monitoring, review, investigation, and documentation of trade activity, advisory account activity, supervisory alerts, and regulatory concerns. The position works closely with Compliance leadership, Supervision, Operations, and Financial Professionals to identify potential risks, escalate concerns, and support the firm’s supervisory obligations under FINRA, SEC, and applicable state regulatory requirements. 

Responsibilities:

• Research, analyze, and recommend enhancements to trade surveillance alert parameters, thresholds, monitoring processes, and related supervisory controls based on trends, regulatory developments, and alert review results.
• Assist with implementing approved trade alert changes, maintaining related books and records, monitoring ongoing activity, escalating identified concerns, and preparing trend analysis and reporting related to surveillance activity and trade alert outcomes.
• Review and analyze surveillance reports related to trading activity, concentration risk, excessive trading, high cash balances, inactive accounts, discretionary activity, margin usage, complex products, and other supervisory exceptions.
• Collaborate with Supervision and Compliance leadership to develop and maintain Written Supervisory Procedures (WSPs) related to supervisory review, escalation, documentation requirements, and applicable surveillance alerts and exception activity.
• Research, evaluate, and support implementation of current and emerging surveillance technologies, monitoring systems, and supervisory tools to enhance the firm’s compliance and risk management capabilities.
• Contact and consult with Financial Professionals to professionally address and resolve identified issues, concerns, and supervisory matters while taking a collaborative and coaching-based approach; provide reasonable recommendations, guidance, and corrective suggestions designed to support regulatory compliance and achieve practical, amicable resolutions.
• Create and maintain ongoing reporting for Risk Committee review related to surveillance activity, supervisory trends, and identified areas of risk.
• Lead relevant projects and drive improvements while working independently and in a team-based environment.
• Develop or recommend, beyond trade surveillance, additional areas of monitoring, reporting, and controls designed to reasonably mitigate regulatory and operational risk.
• Other duties as assigned

Given the importance of team dynamics and our partnering culture candidates, seeking a remote position will not be considered.

Qualifications:

• Series 7 and 24 (required)
• Bachelor's Degree (preferred)
• 5+ years of relevant financial industry experience with emphasis on Surveillance and Field Oversight activities
• Good knowledge of FINRA and SEC regulatory requirements
• Knowledge and experience with risk-based testing methodologies
• Experience with drafting and maintaining policies and procedures
• Ability to multitask and pivot, when necessary, in a fast-paced environment to meet deliverables.
• High attention to detail and ability to work independently
• Excellent written and verbal communication skills
• Must be highly motivated, energetic, and driven with a willingness to spearhead projects.
• 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

Pay: from $90,000.00 per year

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