Senior Compliance Officer, Surveillance
Social Capital Resources LLCTampa, FL
Automate your job search with Sonara.
Submit 10x as many applications with less effort than one manual application.1
Reclaim your time by letting our AI handle the grunt work of job searching.
We continuously scan millions of openings to find your top matches.
Overview
Remote
On-site
Job Description
Financial Services Firm in Tampa, Florida is seeking a Compliance Officer for a full-time position!
Responsibilities:
- Review of gifts and entertainment reports for compliance with firm policies and procedures
- Responsible for assisting with the onboarding of new advisors and non-registered associated person affiliation
Qualifications:
- Series 7.
- Series 24 required
- Bachelor's degree
- A minimum of 3 years' experience in financial services.
- General knowledge of various securities products and account types.
- Ability to "think outside the box and develop strategic, creative, and nuanced solutions while always seeking opportunities for improvement.
- 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.
Automate your job search with Sonara.
Submit 10x as many applications with less effort than one manual application.
FAQs About Senior Compliance Officer, Surveillance Jobs at Social Capital Resources LLC
What is the work location for this position at Social Capital Resources LLC?
This job at Social Capital Resources LLC is located in Tampa, FL, according to the details provided by the employer. Some roles may also include multiple work locations depending on the requirement.
What pay range can candidates expect for this role at Social Capital Resources LLC?
Employer has not shared pay details for this role.
What employment applies to this position at Social Capital Resources LLC?
The employer has not provided this information. This may be discussed during the hiring process.
What is the process to apply for this position at Social Capital Resources LLC?
You can apply for this role at Social Capital Resources LLC either through Sonara's automated application system, which helps you submit applications 10X faster with minimal effort, or by applying manually using the direct link on the job page.