Director, Policies & Procedures (Financial Services
Job in
Tampa, Hillsborough County, Florida, 33646, USA
Listed on 2026-08-04
Listing for:
Social Capital Resources
Full Time
position Listed on 2026-08-04
Job specializations:
-
Finance & Banking
Financial Compliance, Regulatory Compliance Specialist, Risk Manager/Analyst
Job Description & How to Apply Below
Top Tier Broker-Dealer/ RIA is seeking a Director!
Responsibilities:
- Develop, maintain, and enhance compliance policies and procedures
- Lead risk-based compliance testing and monitor remediation efforts
- Conduct compliance risk assessments and identify process improvements
- Partner with Compliance, Operations, Supervision, and other business units on regulatory initiatives
- Support regulatory examinations, audits, and reporting
- Drive process improvements and strengthen internal controls
Qualifications:
- 10+ years of experience in compliance, risk management, or audit within financial services
- Strong knowledge of FINRA and SEC regulations
- Experience developing and maintaining policies and procedures
- Background in risk assessments, compliance testing, or internal controls
- Series 7 & 24 required
- Strong communication, organizational, and project management skills
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