Description

J.W. Cole is a Tampa-based Investment Adviser and Broker-Dealer providing robust advisory, brokerage, insurance, operational, product, compliance, business and practice support services to approximately 500 Financial Professionals nationwide. As an advocate for Financial Professionals and their clients, we recognize that we are as much in the relationship business as we are in the financial services business.

We are seeking a highly-motivated, experienced and proven leader to help lead our compliance department as Deputy CCO.  Reporting to the General Counsel/CCO, this leader will co-lead the Compliance management team and help drive the strategy and vision for the department, while also being a mentor, coach and educator to the team’s compliance professionals.  The Deputy CCO is a senior leadership position in the organization, participating in various corporate committees, recruiting activities and regularly interacting with and advising executive leadership.  To that end, the ideal candidate must be an excellent communicator, inspire a diverse team of professionals, drive our firm’s advisory and broker-dealer compliance programs, and demonstrate results, while actively participating in various compliance and corporate initiatives. As necessary, the candidate also must be able to effectively interact with securities regulators at federal and state levels. 

Importantly, the candidate must utilize his/her experience and knowledge to proactively identify and rectify potential risks, drive successful solutions for multiple constituents, and always seek to create efficiencies while maintaining a successful compliance program. The role requires an individual who is self-driven, motivated, creative and can achieve successful results working in a team-based, dynamic and diverse environment fostering the firm’s successful culture, and successfully communicating, partnering and interacting with Financial Professionals to coach, educate and drive successful solutions. As such, we are seeking a candidate who enjoys facing and overcoming challenges to identify creative solutions that benefit multiple parties. 

Requirements

• A minimum of 10 to 15 years’ experience in the financial services environment. 
• Series 7 and 24 required (or 9/10), Series 4 and 53 a plus.
• Demonstrable strong knowledge of SEC, FINRA and state securities rules and regulations, as well as industry standards.
• Must be highly motivated, energetic, and driven with a willingness to spearhead projects, conduct independent research, and promptly deliver.
• Effectively cooperate and coordinate with various constituents. 
• Proven track record of delivering results and successfully motivating and leading individuals to achieve.
• Ability to “think outside the box” and develop strategic, creative, and nuanced solutions while always seeking opportunities for improvement. 
• Good knowledge of various securities product and account types. 
• 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.
• Tampa-based position (onsite).