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

Risk Management Officer

J.W. Cole Financial, Inc. is seeking a highly motivated, creative, and dynamic professional to join our compliance team in Tampa! The ideal candidate will have a background in the financial services industry. This role is responsible for supporting the firm’s compliance program by executing risk-based compliance testing and monitoring activities aligned with regulatory requirements. The role tracks and supports remediation of issues identified through testing and reviews and contributes to the firm’s compliance risk assessment to prioritize monitoring efforts. In addition, the role will help ensure the Firm maintains proper, efficient, and field-focused compliance policies and procedures, including identifying, updating, and tracking. The role also provides continuing education, documentation, reporting, and communication support to strengthen overall compliance program oversight.

This role requires an individual who can identify opportunities, create efficiencies, drive improvements and achieve successful results working in a team-based environment. It is incumbent 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 create solutions. Accordingly, we are seeking a driven candidate who enjoys facing and overcoming challenges, while seeking continual improvement opportunities to identify creative successes that benefit multiple parties.

Key Responsibilities:

• Execute testing aligned with regulatory requirements including supervisory control reviews, 206(4)-7 testing, and annual compliance program reviews. Monitor issues identified by the Home Office OSJ examination and, as applicable, incorporate into the testing program.
• Oversee the testing remediations ensuring follow-through and implementation of updates or changes.
• Support the development, maintenance, and formal publication of compliance policies and procedures consistent with regulatory requirements, ease-of-business, efficiency and organizational standards.
• Work with business lines, internal stakeholders, and external auditors to ensure compliance and support regulatory requirements.
• Administer compliance content on the firm’s internal intranet site.
• Assist with drafting and publishing field communications related to compliance matters.
• Support Financial Professional onboarding and recruitment efforts from a compliance role
• 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 financial services experience in audit, risk management, or compliance
• 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 - 100,000 annually

To apply: Email Resume to: Lauren.McClemens@jw-cole.com