- 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
- 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
- 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...individuals 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...individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses (Series… more
- Citigroup (Tampa, FL)
- …assist and/or handle other duties related to internal inquiries, audit requests, and FINRA regulatory matters. **Job Family Group:** Compliance and Control **Job ... familiarity with investment products/characteristics. **Responsibilities:** + Supporting teams with compliance and control; partners with operations, risk, compliance… 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 ... registered representatives at NFIS, LLC member FINRA /SIPC and an SEC Registered Investment Advisory Firm as well as activities through NFIS online offerings. Provide… more
- Wells Fargo (Port Orange, 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 (Pensacola, 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
- 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...evaluates and communicates the materially of the risks identified. FINRA regulatory licenses are preferred for this role and/or… more
- 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