• Manager, SEC Reporting - Hybrid

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …and compliance with Generally Accepted Accounting Principles (GAAP) and SEC requirements. * Manages the preparation of quarterly external reporting releases, ... - 6 to 10 years **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority ( FINRA... Sec Rep - Financial Industry Regulatory Authority ( FINRA ) **Travel** Less than 25% **Workstyle** Hybrid At Raymond… more
    Raymond James Financial, Inc. (07/18/25)
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  • SVP, Capital Markets Chief Compliance…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …of:** + Securities industry compliance practices, concepts, and procedures. + SEC , FINRA , FRB Bank Holding Company, and state regulatory frameworks. + ... a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation,...risks associated with Capital Markets activities, ensuring adherence to SEC , FINRA , FRB Bank Holding Company, and… more
    Raymond James Financial, Inc. (06/03/25)
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  • Compliance Officer - Vice President

    Arena Investors LP (Jacksonville, FL)
    …. Experienced reviewing marketing materials in line with SEC and FINRA rules; . Experienced conducting annual compliance reviews; . Experienced managing ... and efficiency. . 7 - 10 years of regulatory compliance experience at a SEC -registered investment adviser...insurance clients; . Experienced administering regulatory filings with the SEC , FINRA , FCA, MAS and others; .… more
    Arena Investors LP (05/13/25)
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  • Compliance Supervisor - Navy Federal…

    Navy Federal Credit Union (Pensacola, FL)
    …compliance related activities performed by registered representatives at NFIS, LLC member FINRA /SIPC and an SEC Registered Investment Advisory Firm as well as ... activities through NFIS online offerings. Provide effective compliance guidance for insurance activities through Navy Federal Financial Group, LLC, an insurance… more
    Navy Federal Credit Union (07/18/25)
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  • Central Supervision Analyst

    TD Bank (Coral Gables, FL)
    …of Business:** TD Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the Central ... communications. This role works closely with the supervision, operations, compliance , and risk departments of the US Wealth organization....required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series… more
    TD Bank (07/17/25)
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  • Compliance Manager, Capital Markets

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …associates, Technology Strategy and Alignment department, Supervision & Supervision management, Compliance & Standards Committee, and FINRA and SIFMA ... compliance . + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state securities regulatory… more
    Raymond James Financial, Inc. (07/03/25)
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  • Senior Compliance Analyst - Park Avenue…

    Guardian Life (Tallahassee, FL)
    …will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations… more
    Guardian Life (06/14/25)
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  • Investment Advisor

    Navy Federal Credit Union (Pensacola, FL)
    …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate ... an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures....documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies.… more
    Navy Federal Credit Union (07/12/25)
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  • Sr. Advisor, PCG Compliance

    Raymond James Financial, Inc. (St. Petersburg, FL)
    … reviews. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory ... certification to ensure the tactical and strategic success of the firm's PCG Compliance program. Responsibilities include but are not limited to providing advice and… more
    Raymond James Financial, Inc. (07/23/25)
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  • Compliance Sr. Manager, GWS Products

    Raymond James Financial, Inc. (St. Petersburg, FL)
    … compliance . + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state securities regulatory ... education, experience, specialized training and/or certification to serve as the compliance partner for the Global Wealth Solutions ("GWS") business line,… more
    Raymond James Financial, Inc. (07/02/25)
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