- 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 will work...of excellence while focusing on accuracy and efficiency. . 7 - 10 years of regulatory compliance … more
- Insight Global (Tampa, FL)
- …Requirements -3 years of experience within compliance in a financial environment - Series 7 & 24 registrations -- must be currently active -Bachelor's degree ... 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
- Citigroup (Jacksonville, FL)
- …industry. + Cross-disciplinary knowledge of compliance , operations, trading + **Required Licenses:** Series 7 , 9/10, 31, 63 & 65 (or 66). Candidates willing ... Oversight:** Reviewing escalated surveillance issues, performing transaction surveillance, providing compliance /supervisory guidance to sales & trading teams, and maintaining… more
- Guardian Life (Tallahassee, FL)
- …broker/dealer as a plus. + Prior examination, auditing or testing experience. + Series 7 ; 24 licenses required or obtained within 120 days. + ... 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,… more
- TD Bank (Fort Lauderdale, FL)
- …guidance on advertising and marketing materials for a broker-dealer/bank.** + **FINRA Series 7 , 63 and 24 preferred.** **Customer Accountabilities:** + ... escalate issues requiring senior management attention.** + **Experience conducting annual compliance assessments under 206-4( 7 ) and FINRA 3130.** +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …departments. + Ability to perform analytics and create process efficiencies is a plus. + Series 7 required, Series 24 License (within 90 days of join), ... and limit firm liability. Conduct internal reviews to ensure compliance with regulatory requirements and internal policies including potential...grandfathering cannot be applied. + Required to have a Series 7 , 24 (within 90 days of… more
- Bank of America (Miami, FL)
- …ensuring alignment with the bank's enterprise risk appetite **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent… more
- Bank of America (Destin, FL)
- …prioritizing, inspecting and appropriately delegating team work. **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 ... of a Merrill branch office ensuring appropriate supervision and compliance to industry regulations, and policies and procedures +... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent… more
- Truist (Orlando, FL)
- …degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of Available ... 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… more
- Truist (Tampa, FL)
- …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53 and 66 licenses ( Series 9&10 can be used ... in lieu of Series 66) Life/Health and Variable Insurance Licensing + 7 years related retail brokerage and/or investment advisory experience with an emphasis in… more