What are the responsibilities and job description for the Compliance Advisor position at Calton & Associates, Inc.?
Calton & Associates Inc. is currently seeking an experienced Compliance Officer to join our team in Tampa, FL.
Calton & Associates Overview
Calton & Associates is one of the nation’s long standing broker dealers servicing independent financial professionals and advisors. Founded in 1987, Calton & Associates has built a solid foundation for supporting independent financial professionals, advisors, and the growth of their business. Through a comprehensive range of financial products and services, Calton & Associates helps advisors pursue the appropriate financial solutions to support clients’ needs. With over 100 offices nationwide, Calton & Associates is a family friendly broker dealer for quality advisors who want independence along with support to grow their business.
Position Description
Support the Chief Compliance Officer in administering the BD and RIA compliance program. Identify irregularities and potential areas of risk, develop and implement corrective action plans for resolution, and mitigate future risks. The position requires FINRA licenses Series 7, 66, and 24.
Essential Position Duties & Responsibilities
• Provide assistance and guidance to registered representatives and their staff regarding compliance issues, firm policies and procedures, and industry regulations.
• Review advertising submissions for compliance with firm policies and procedures and industry regulations.
• Monitor offices requiring heightened review.
• Monitor and report on periodical compliance exception reports.
• Conduct examinations of branch offices.
• Assist in the preparation for regulatory examinations and arbitrations.
• Respond to verbal and written inquiries and requests.
• Monitor and review representatives' outside business activities.
• Review and respond to customer complaints.
Education and Experience
• Bachelor’s degree
• Relevant work experience: minimum 3 Years.
• Series 7 & 24 or 9/10 required.
Skills and Abilities
• Strong knowledge of FINRA, SEC and state regulations
• Strong knowledge of financial services products
• Strong research, investigative and deductive skills
• Strong verbal and written communication skills
• Ability to research and interpret new rules and regulations
• Strong attention to detail • Strong knowledge of MS Office and other relevant computer applications
• Travel Up to 25% Compensation and Benefits
• Base Salary • Company Profit Sharing Plan Bonus
• Company 401K and Matching Program • Medical Coverage • Dental Coverage • Life Insurance Coverage
