Investment Compliance Specialist

A company is looking for an Investment Operations & Compliance Specialist to support compliance and operational activities in a remote role based in the Greater Tampa Bay Area.

Key Responsibilities

Assist with day-to-day compliance and operational activities, including inter-departmental projects

Maintain and update the Compliance Calendar / Matrix and manage personal trading surveillance

Support trading operations, including trade data loading and reporting, and contribute to investigations and corrective action plans

Required Qualifications

A high school diploma (or GED / equivalent) is required; a Bachelor's degree in Finance, Economics, or Business is preferred

2+ years of compliance or trading / investment support experience within asset management or related financial services

Solid understanding of SEC and FINRA regulations

Proficiency with Microsoft Office Suite; experience with MyComplianceOffice software is preferred

High ethical standards and commitment to confidentiality