Associate Financial Supervision Principal

Licensing Requirements

• Only candidates possessing an active Series 7, 63, 24 (or 9/10), and Series 65 or 66 will be considered.

J.W. Cole Company Profile

J.W. Cole is a Tampa-based Broker-Dealer and Registered Investment Adviser providing robust service, operational, product, compliance, and practice support to approximately 500 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.

Job Summary

J.W. Cole is seeking a highly motivated innovative team player to join our Supervision team to support and oversee the Supervisory function of our Financial Professionals while working alongside our Custody & Clearing Services Team and Senior Relationship Managers. The successful candidate will help to reasonably ensure Financial Professionals remain compliant with applicable federal and state rules, regulations, and best practices.

The successful candidate will be outgoing, exhibit a positive attitude, have exceptional organization and follow-up skills, be resourceful, and be highly effective in seeking out answers within the organization and with our vendor partners. The Firm is not currently seeking remote candidates but will consider applicants willing to relocate to the Tampa Bay area.

Responsibilities

The primary responsibilities of an Associate Relationship Manager:

• Provide review and approval of all investment transactions as required by FINRA, the SEC, and the DOL submitted by Financial Professional, ensuring compliance with FINRA regulations; reviewing trading activity, client accounts and sales practices, while reporting any potential violations to senior supervisory personnel.
• Analyze new account openings and suitability documentation for accuracy.
• Act as liaison between the Financial Professional and the Home Office.
• Recognize opportunities to implement best practices within the Financial Professional’s day-to-day business.
• Work closely with other departments within the firm to identify and address potential risks.

Qualifications

• The perfect candidate will have at least two years’ experience working for a Securities Broker Dealer and/or Registered Investment Adviser in Compliance or Sales Supervision.
• The successful candidates will have knowledge of investment concepts, practices and procedures of the securities industry.
• Knowledge of suitability concepts and (Reg BI) best interest standards applied to recommendations of employer sponsored plan rollovers and investment products, including Stocks, Bonds, Variable Annuities, Index Annuities, Mutual Funds, 529 plans, and some complex investments.
• Candidates must possess an ability to interpret and apply FINRA, SEC, and AML regulation and recommend firm best practices to Financial Professionals and their staff.
• Must possess a communication and relationship building prowess with Financial Professionals, other Business Units, and Senior Management.
• Must possess and project confidence on the phone and in person when communicating with well-established successful Financial Professional business owners.

Education/Experience

• Bachelor’s degree and at least two years industry experience preferred, or any equivalent combination of experience, education, and /or training.

Job Details

• Full-time, In Office
• Location: Tampa, FL

Benefits

• 401(k) with matching
• Comprehensive Health Insurance
• Dental & Vision Insurance
• Short-term and Long-term disability
• Paid Time Off

Job Type: Full-time

Pay: $65,000.00 - $75,000.00 per year

Benefits:

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

Education:

• Bachelor's (Required)

Experience:

• Financial Services: 2 years (Required)

License/Certification:

• Series 7, 63, 24 (or 9/10) and 65 or Series 66 (Required)

Ability to Commute:

• Tampa, FL (Required)

Ability to Relocate:

• Tampa, FL: Relocate before starting work (Required)

Work Location: In person

Salary : $65,000 - $75,000