- Wells Fargo (St. Petersburg, FL)
- …to Supervise the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and Securities and Exchange Commission (SEC) rules ... that the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The FiNet Home Office Supervisor understands the… more
- 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
- 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
- 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
- Wells Fargo (Tamarac, 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 (Ocala, 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 (Tampa, FL)
- …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008...recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Duties and Responsibilities** + Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed, including: + Insider ... Lending Program + Transactions with Affiliates Program + Manages the Compliance training by collaborating with RJF Compliance and the Organization Training and… more