Calton & Associates, Inc. is currently seeking an experienced Compliance Manager to join our team in Tampa, FL.

Calton & Associates, Inc. Overview

Calton & Associates is an independent broker-dealer, RIA, and insurance agency headquartered in Tampa, FL. We support a nationwide network of financial advisors with the operational infrastructure, compliance oversight, and technology they need to serve clients at the highest level. Our culture is built on the belief that a strong, connected team — one that supports each other at every level — is the foundation of everything we do.

Position Summary

We are seeking a seasoned, detail-oriented Compliance Manager to join our team. In this critical role, you will help design, implement, and oversee the firm’s compliance framework, ensuring adherence to applicable federal and state securities laws, FINRA rules, and SEC regulations. You will serve as a key advisor to business units, senior management, and the Board on regulatory and compliance matters, while leading a team of seasoned and junior compliance officers, and fostering a culture of ethical conduct and regulatory awareness across the organization.

Position Responsibilities

Regulatory Compliance & Oversight

• Develop, implement, and maintain Written Supervisory Procedures (WSPs) and compliance policies in accordance with FINRA, SEC, and applicable state regulations
• Monitor regulatory changes and assess their impact on firm operations; advise management and update policies accordingly
• Conduct ongoing reviews of broker-dealer and investment adviser activities to ensure regulatory compliance
• Serve as primary liaison with FINRA, SEC, and state regulators during examinations, inquiries, and audits

Supervision & Branch Oversight

• Fulfill General Securities Principal responsibilities under the Series 24 license, including review and approval of customer accounts, communications, and transactions
• Oversee branch office and OSJ inspections; review and resolve exception reports and supervisory alerts
• Supervise and mentor compliance staff and registered representatives on compliance matters
• Conduct annual compliance meetings and training sessions for registered personnel

Risk Management & Testing

• Design and execute the annual compliance testing and surveillance program, identifying areas of concern and recommending corrective action
• Review and approve marketing materials, sales literature, and client communications for regulatory compliance
• Manage and resolve customer complaints and regulatory inquiries in a timely manner
• Maintain and update the firm’s AML program and conduct related training

Reporting & Advisory

• Help prepare compliance reports to be presented to senior management and the Board of Directors on a regular basis
• Conduct research in order to advise on new product launches, business initiatives, and acquisitions from a regulatory and compliance standpoint
• Oversee the filing of regulatory reports including Form U4/U5, Form BD, Form ADV, and associated disclosures
• Partner with Supervision, Finance, and Operations teams to address cross-functional compliance risks

Qualifications

Required Licenses (Must Hold at Time of Hire)

• Series 7 — General Securities Representative: authorization to conduct a broad range of securities transactions
• Series 24 — General Securities Principal: supervisory authority over registered representatives and branch operations
• Series 66 — Uniform Combined State Law (covers agent and investment adviser representative functions); Series 63 + Series 65 accepted as alternative

Education & Experience

• Bachelor’s degree in Finance, Business, Law, Accounting, or a related field required; JD, MBA, or advanced degree preferred
• Minimum 5–7 years of progressive compliance experience within a FINRA-regulated broker-dealer and registered investment adviser (RIA)
• Demonstrated experience managing or participating in FINRA or SEC regulatory examinations
• In-depth knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, Investment Advisers Act of 1940, and applicable FINRA rules

Skills & Competencies

• Strong leadership skills; ability to build strong cohesive teams
• ability to coach and develop others
• Exceptional written and verbal communication skills; ability to translate complex regulatory requirements into clear, actionable guidance
• Strong analytical and critical thinking skills; ability to assess risk and recommend practical solutions
• Proficiency with compliance surveillance systems (e.g., NICE Actimize, Behavox, or similar platforms)
• High level of integrity, professional ethics, and sound judgment in all matters
• Strong project management and organizational skills with the ability to manage multiple priorities simultaneously
• Proficiency in Microsoft Office Suite; experience with FINRA’s WebCRD and IARD filing systems

Preferred Qualifications

• CAMS (Certified Anti-Money Laundering Specialist) or CCO (Chief Compliance Officer) designation highly preferred
• Experience with dual-registrant firms operating as both a broker-dealer and RIA
• Familiarity with cybersecurity compliance requirements under Regulation S-P and SEC cybersecurity rules

Compensation and Benefits

• Base salary
• Annual Performance Bonus
• Company 401(k) and matching program
• Medical coverage
• Dental coverage
• Vision coverage
• Continuing education reimbursement, FINRA CE support, and opportunities for additional securities licenses

Location: Tampa, FL – Onsite
Reports to: Chief Compliance Officer
Schedule: Mon-Fri, 8:30 AM – 5:00 PM
FLSA Status: Exempt, Full Time

Apply Now