- 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
- 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 (Orlando, FL)
- …Bachelor's degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General ... 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
- 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
- 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
- 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
- Navy Federal Credit Union (Pensacola, FL)
- …review of any related communication, reports, presentations, materials utilized for compliance purposes. Supervise compliance related activities performed by ... Firm as well as activities through NFIS online offerings. Provide effective compliance guidance for insurance activities through Navy Federal Financial Group, LLC,… more
- 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
- TD Bank (Fort Lauderdale, FL)
- …who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance , ... a mission to build a more resilient and scalable compliance risk management function. As part of our team,...+ **Proficiency with Microsoft Office applications.** + **FINRA license Series 7, 63 &24** + **Life and Health insurance… more
- TTEC (Tallahassee, FL)
- …ignite your career with TTEC's award-winning employment experience. As a Public Sector Compliance Analyst working remote in the United States, you'll be a part of ... our Security & Governance team, you will support the compliance lifecycle needs of existing public sector clients as...frameworks relevant to your industry, such as NIST 800-53 Series , MARS-e 2.2 or current version & FedRAMP. +… more