• Compliance Supervisor - Navy Federal…

    Navy Federal Credit Union (Pensacola, FL)
    …FINRA principal registration Series 53 Hours: Monday - Friday, 8:00AM - 4 :30PM Location: 5550 Heritage Oaks Dr. Pensacola, FL 32526 | 9001 Airport Freeway, Suite ... review of any related communication, reports, presentations, materials utilized for compliance purposes. Supervise compliance related activities performed by… more
    Navy Federal Credit Union (07/18/25)
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  • REMOTE Compliance Associate

    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… more
    Insight Global (07/15/25)
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  • Public Sector Compliance Analyst

    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...and audits. + Utilize experience with NIST 800-53 Rev 4 to Rev 5 (or 800-171) or agency equivalent.… more
    TTEC (06/29/25)
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  • Compliance Specialist

    Trellix (Tallahassee, FL)
    …High School diploma with 4 + years of experience in IT Audit, IT Compliance , IT Risk Management, or a related field.** + **Experience supporting audits such as ... **_Job Title:_** Compliance Specialist **About Skyhigh Security:** Skyhigh Security is...our employee recognition program, to our 'Blast Talks' learning series , and team celebrations (we love to have fun!),… more
    Trellix (06/13/25)
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  • Senior Premier Banker - Las Olas

    Wells Fargo (Fort Lauderdale, FL)
    …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008 and all related… more
    Wells Fargo (07/26/25)
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  • Wealth Regional Supervisor Specialist Team Leader

    Truist (Tampa, FL)
    …in Finance or Business. + Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of Available Benefits for Eligible Employees of ... team is aware and understands all changes relating to compliance with industry rules, regulations as well as internal...**Essential Duties and Responsibilities** + Manage a team of 4 - 10 Supervisors. + Provide coaching and focused… more
    Truist (07/08/25)
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  • Wealth Regional Supervisor - Account Opening

    Truist (Orlando, FL)
    …or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of Available Benefits for Eligible Employees 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 (08/08/25)
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  • Wealth Relationship Manager - Divisional…

    Truist (Orlando, FL)
    …or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General Description of Available Benefits for Eligible ... 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 (07/08/25)
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  • Advisor, Supervision Trade Review

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …or grandfathering cannot be applied. + Required to have a Series 7, 9, 10 and 63 + Series 24, 53 and 4 can be used instead of the 9 and 10 + Series ... managers through the use of various reports and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and platform… more
    Raymond James Financial, Inc. (07/04/25)
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  • Regulatory Operations Analyst | Financial…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be ... registration requirements. + Investigate standard incidents using current regulatory and compliance processes, systems, and procedures, and take action to solve… more
    Raymond James Financial, Inc. (07/26/25)
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