70 Senior Compliance Specialist Jobs in Tampa, FL
Social Capital Resources is Hiring a Senior Compliance Specialist Near Tampa, FL
Rapidly Growing Financial Services Firm is seeking a Senior Compliance Specialist for a permanent position!
Responsibilities:
- Ensure firm adheres to non-financial regulatory reporting requirements for securities and commodities regulators
- Responsible for the production, validation and submission of non-financial regulatory reports (e.g., Consolidated Audit Trail (CAT) Electronic Blue Sheets (EBS), Large Options Position Report (LOPR), etc.)
Qualifications:
- Bachelor’s Degree
- Experience with non-financial regulatory reporting rules and issues (OATS/CAT, LOPR, Short Interest Reporting, INSITE, TRACE, OTCRF/TRF, LTR/OCR, Portfolio Margin/Margin Balance Reporting)
- Ability to obtain Series 7
- Knowledge of financial markets, trading products, and market regulations.
Job Summary
Full Time
$77k-97k (estimate)
06/28/2024
07/17/2024
scrsearchnow.com
New York, NY
<25
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The following is the career advancement route for Senior Compliance Specialist positions, which can be used as a reference in future career path planning. As a Senior Compliance Specialist, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Senior Compliance Specialist. You can explore the career advancement for a Senior Compliance Specialist below and select your interested title to get hiring information.
