• Compliance Officer - Vice President

    Arena Investors LP (Jacksonville, FL)
    …at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker - dealer compliance (ideally Series 7 or Series 14 ... expand the team through the addition of a senior Compliance Officer . In this role, this individual...and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing… more
    Arena Investors LP (08/12/25)
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  • Chief Risk Officer - Private Client Group…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more
    Raymond James Financial, Inc. (07/31/25)
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