• 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 along with… more
    Guardian Life (08/29/25)
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  • Compliance Officer - Vice President

    Arena Investors LP (Jacksonville, FL)
    …and regulations; . Experienced reviewing marketing materials in line with SEC and FINRA rules; . Experienced conducting annual compliance reviews; . Experienced ... expand the team through the addition of a senior Compliance Officer. In this role, this individual will work...Advisers Act of 1940; . Support the CCO with FINRA broker-dealer requirements; . Monitoring of Client guidelines and… more
    Arena Investors LP (08/12/25)
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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 ... experience, specialized training and/or certification in securities or banking industry compliance to assist in administering and managing an assigned compliance… more
    Raymond James Financial, Inc. (08/22/25)
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  • Wealth Regional Supervisor

    Truist (Jacksonville, 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...individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses (Series… more
    Truist (08/02/25)
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  • Compliance Business Oversight Manager

    TD Bank (Fort Lauderdale, FL)
    …+ **Ensure ongoing compliance with the Investment Company Act of 1940, FINRA , SEC rules, and other applicable state and federal securities laws** + **Assist in ... escalate issues requiring senior management attention.** + **Experience conducting annual compliance assessments under 206-4(7) and FINRA 3130.** +… more
    TD Bank (09/03/25)
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  • Market Growth Director

    Wells Fargo (Palm Beach, FL)
    …the following: work experience, training, military experience, education + Successfully completed FINRA Series 7 exam to qualify for immediate registration (or ... FINRA recognized equivalents) **Desired Qualifications:** + Successfully completed ...This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is… more
    Wells Fargo (09/05/25)
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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...* Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) are preferred… more
    PNC (08/23/25)
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  • SVP, Capital Markets Chief Compliance…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …objectives, ensuring operational excellence. **Advanced Knowledge of:** + Securities industry compliance practices, concepts, and procedures. + SEC, FINRA , FRB ... Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision of… more
    Raymond James Financial, Inc. (07/26/25)
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  • Relationship Banker - Liberty City, Edison…

    Wells Fargo (Miami, FL)
    …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA … more
    Wells Fargo (09/06/25)
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  • Relationship Banker - Dunn Ave

    Wells Fargo (Jacksonville, FL)
    …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... and partners **Desired Qualifications:** * Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA … more
    Wells Fargo (09/05/25)
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