Investment Compliance Specialist at VirtualVocations

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 ResponsibilitiesAssist with day-to-day compliance and operational activities, including inter-departmental projectsMaintain and update the Compliance Calendar/Matrix and manage personal trading surveillanceSupport trading operations, including trade data loading and reporting, and contribute to investigations and corrective action plansRequired QualificationsA high school diploma (or GED/equivalent) is required; a Bachelor's degree in Finance, Economics, or Business is preferred2+ years of compliance or trading/investment support experience within asset management or related financial servicesSolid understanding of SEC and FINRA regulationsProficiency with Microsoft Office Suite; experience with MyComplianceOffice software is preferredHigh ethical standards and commitment to confidentiality