What are the responsibilities and job description for the Compliance Specialist position at iTP Partners?
Compliance Specialist - Investment Team - Financial Services Industry
Are you passionate about ensuring regulatory compliance in the dynamic world of investment and finance? Do you possess a meticulous eye for detail and a deep understanding of regulatory frameworks? We're seeking a dedicated Compliance Specialist to join our esteemed investment team within the financial services sector, ensuring adherence to regulations and ethical practices.
Position Overview:
As a Compliance Specialist within our investment team, you'll play a pivotal role in safeguarding our operations' compliance with industry regulations and internal policies. Your expertise will be essential in analyzing regulatory changes, implementing compliance strategies, and ensuring our investment practices align with regulatory requirements.
Key Responsibilities:
- Two to three years of experience in the financial securities industry is required.
- Must be proficient with MS Office and Word. Proficiency with MS Excel is a must.
- Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds is required. (Additional knowledge in variable annuities and mutual funds strongly preferred.)
- Ability to analyze large amounts of trade data and to think through complex Compliance issues.
- Must be detail-oriented, investigative, and able to handle a high volume of work independently.
- Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation
- Effective communication skills, both written and verbal.
Qualifications:
- Bachelor's degree in Finance, Business Administration, Law, or a related field.
- Previous experience (2 years) in a compliance or regulatory role within the financial services industry, specifically focused on investment compliance.
- In-depth understanding of investment-related regulations and compliance frameworks (e.g., SEC, FINRA, investment adviser regulations).
- Strong analytical skills with the ability to interpret and apply complex regulatory information within an investment context.
- Exceptional attention to detail and organizational abilities, especially in the context of investment compliance.
- FINRA Series 7 and 24 are required.
Preferred Requirements:
- Insurance license preferred
- 2 years’ regulatory experience.
Why Join Us:
- Opportunity to play a critical role within our investment team, ensuring adherence to regulatory compliance and ethical standards in investment practices.
- Exposure to a dynamic and collaborative environment that encourages professional growth and development within the investment realm.
- Competitive compensation package and avenues for career advancement within our investment-focused compliance initiatives.
Job Type: Part-time
Pay: From $50.00 per hour
Expected hours: 10 – 20 per week
Experience level:
- 2 years
Schedule:
- Monday to Friday
License/Certification:
- Series 24 (Required)
Work Location: Hybrid remote in Ponte Vedra Beach, FL 32082