"Alerted.org

Key Responsibilities

Depending on level and area of focus, responsibilities may include:

+ Supporting or leading compliance program development, implementation, and oversight across various business units.

+ Assisting in the alignment of compliance processes with central compliance standards and regulatory requirements

+ Conducting compliance exams, testing, monitoring, and reporting, and surveillance activities.

+ Participating in regulatory examinations and internal audits, including preparation and response coordination.

+ Collaborating with internal stakeholders including AML, Compliance, Risk, and Legal to identify and resolve compliance issues.

+ Contributing to the design and delivery of compliance training and continuing education programs.

+ Supporting automation and process improvement initiatives to enhance compliance efficiency.

+ Serving as a liaison for compliance-related committees, projects, and cross-functional initiatives.

+ Advising business units on regulatory changes and risk mitigation strategies.

+ Coaching and mentoring junior compliance staff (for mid-to-senior level roles).

Qualifications

Knowledge of:

+ Regulatory frameworks including SEC, FINRA, OCC, FDIC, FRB, FFIEC; CFPB and other relevant agencies.

+ Securities and/or banking industry operations and financial products.

+ Risk management principles and compliance monitoring techniques.

Skills in:

+ Analytical thinking, researching and problem-solving compliance issues.

+ Effective communication—both written and verbal.

+ Project management and prioritization.

+ Microsoft Office Suite (Excel, PowerPoint, Word); familiarity with compliance systems/tools is a plus.

Ability to:

+ Work independently and collaboratively in a fast-paced environment.

+ Prioritizing tasks while adapting to changing regulatory landscapes and business needs.

+ Establish and maintain effective working relationships at all organizational levels

+ Maintain confidentiality and exercise sound judgment.

+ Interpret and apply policies and recommend improvements.

Ideal Candidate Profiles

We are seeking candidates across the following levels:

+ **Entry-Level** : Professionals with 1–3 years of experience in compliance, risk, audit, or related fields.

+ **Mid-Level** : Professionals with 4–7 years of experience, capable of managing projects and mentoring junior staff.

+ **Senior-Level** : Experts with 8+ years of experience, strategic thinkers who can lead programs and influence compliance culture.

Education & Experience

+ Bachelor’s Degree required.

+ Relevant experience in securities, banking, or financial services compliance.

+ Equivalent combinations of education, training, and experience may be considered.

Licenses/Certifications

+ None required, though certifications such as CRCM, CAMS, or FINRA Series licenses are preferred.

Location & Travel

+ Roles are based in St. Petersburg, Florida (Must be local or have the ability to relocate prior to start date).

+ Travel requirements vary by role and level.