• Compliance Officer - Vice President

    Arena Investors LP (Jacksonville, FL)
    …a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker-dealer compliance (ideally Series 7 or Series 14 licensed); ... expand the team through the addition of a senior Compliance Officer. In this role, this individual will work...this role, this individual will work closely with the compliance team and have regular interface with staff throughout… more
    Arena Investors LP (08/12/25)
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  • Wealth Regional Supervisor - Account Opening

    Truist (Orlando, FL)
    …Bachelor's degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of ... that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal...with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series… more
    Truist (08/08/25)
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  • REMOTE Compliance Associate

    Insight Global (Tampa, FL)
    …https://insightglobal.com/workforce-privacy-policy/ . Skills and Requirements -3 years of experience within compliance in a financial environment - Series 7 & 24 ... local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and...maintain positivity in the workplace -Familiarity with Ad Review - Series 53 & 4 registrations null We are a… more
    Insight Global (07/15/25)
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  • Head of FX, Derivatives & ETD's/Clearing,…

    Santander US (Miami, FL)
    …and risk assessment. Ability to drive innovation and continuous improvement in compliance processes. _Key Competencies:_ FINRA Series 99 mandatory or ... Markets leadership team. Work closely with CIB Business Lines, Compliance , Legal, Risk, Technology, and CLM teams to ensure...27 desirable. Incumbent will be expected to pass a Series 27 exam after 6 months on the job.… more
    Santander US (07/13/25)
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  • Supervisory Principal

    Citigroup (Jacksonville, FL)
    …in Capital Markets and the financial industry. + Cross-disciplinary knowledge of compliance , operations, trading + **Required Licenses:** Series 7, 9/10, 31, ... Oversight:** Reviewing escalated surveillance issues, performing transaction surveillance, providing compliance /supervisory guidance to sales & trading teams, and maintaining… more
    Citigroup (08/08/25)
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  • Senior Compliance Analyst - Park Avenue…

    Guardian Life (Tallahassee, FL)
    …best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie, ... on the customer. We do this through leveraging a series of core capabilities, which includes accountability, interpersonal effectiveness,...Do you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance … more
    Guardian Life (08/29/25)
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  • Compliance Program Advisor - Capital…

    PNC (FL)
    …and have an opportunity to contribute to the company's success. As a Compliance Program Advisor, you will be within PNC's Retail Organization supporting the Risk, ... Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may...and or Broker Dealer experience * FINRA regulatory licenses ( series 24 or 53) are preferred for this role… more
    PNC (08/23/25)
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  • Tax & Compliance Lead

    ISC2 (Tallahassee, FL)
    …that empowers all of our successes. Learn more. **Position Summary** The Tax & Compliance Lead plays a crucial role in ensuring the organization adheres to all ... applicable auditing standards, domestic and international compliance measures, and tax laws and regulations. This position...deadlines + Experience with Sage Intacct and Vertex O Series , a plus **Education and Work Experience** + Bachelor's… more
    ISC2 (08/08/25)
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  • Senior Advisor, Conflicts of Interest Supervision

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …regulations and limit firm liability. Conduct internal reviews to ensure compliance with regulatory requirements and internal policies including potential conflicts ... of interest. Assess and report on compliance risks, investigate incidents and take action...analytics and create process efficiencies is a plus. + Series 7 required, Series 24 License (within… more
    Raymond James Financial, Inc. (07/26/25)
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  • Director, Events (A) - Frost School of Music

    University of Miami (Coral Gables, FL)
    …in the planning and implementation of the Frost Music Live concert series , development-related special events such as Winter Wonderful, and general Frost School ... (40%)* Direct, produce, and oversee Frost Music Live Signature Series and Frost School of Music assigned events, including...Miami General Counsel & Business Services, and ensure contract compliance . * Attend and serve as the on-site director… more
    University of Miami (08/08/25)
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