• Compliance Manager - RJIM Communication…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …Experience Requirements** + Bachelor's degree (BA /BS) and a minimum of six ( 6 ) years of experience in Compliance and/or the financial services industry ... them accordingly. + Coaches, trains, and mentors less experienced Compliance Specialists. + May serve as a "team lead"...+ SIE required provided that an exemption or grandfathering cannot be applied. + Series 7, 24, and 63… more
    Raymond James Financial, Inc. (05/29/25)
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  • Risk Compliance Officer II…

    First Horizon Bank (Tampa, FL)
    …OFFICE EQUIPMENT SKILLS** 1. Microsoft Office suite **CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license, etc)** None required **About Us** ... of all Products and Services to all applicable regulations in which Corporate Compliance has oversight responsibility. Must have a knowledge of all state and federal… more
    First Horizon Bank (07/24/25)
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  • Relationship Banker - Arthur Godfrey

    Wells Fargo (Miami Beach, FL)
    …partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008...practices risk management culture + Current registration for FINRA Series 6 and Series 63… more
    Wells Fargo (08/02/25)
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  • Senior Premier Banker - Las Olas

    Wells Fargo (Fort Lauderdale, FL)
    …+ Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to ... by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect...practices risk management culture + Current registration for FINRA Series 6 and Series 63… more
    Wells Fargo (07/26/25)
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  • Regulatory Operations Analyst | Financial…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …required,** or **ability to obtain within 120 days** (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level ... requirements. + Investigate standard incidents using current regulatory and compliance processes, systems, and procedures, and take action to...registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,… more
    Raymond James Financial, Inc. (07/26/25)
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  • Supervisor, Operations | Advisory-Managed New…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …required,** or **ability to obtain within 120 days** (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level ... onboarding of new accounts, with a strong focus on compliance , client experience, and service quality. Oversee multiple functional...registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,… more
    Raymond James Financial, Inc. (07/26/25)
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  • Head of FX, Derivatives & ETD's/Clearing,…

    Santander US (Miami, FL)
    …and risk assessment. Ability to drive innovation and continuous improvement in compliance processes. _Key Competencies:_ FINRA Series 99 mandatory or ... Markets leadership team. Work closely with CIB Business Lines, Compliance , Legal, Risk, Technology, and CLM teams to ensure...27 desirable. Incumbent will be expected to pass a Series 27 exam after 6 months on… more
    Santander US (07/13/25)
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  • Audit Sr Advisor - Corporate

    First Horizon Bank (Miami Lakes, FL)
    …Auditors (IIA) Standards Certification or License required (CIA, CISA, CPA, CFA, CRCM, CIFRS, Series 6 , 7, or 24, etc.). Prior experience at a large, complex ... the full range of risks related to processes, regulatory compliance , organization, policy, and technology; + evaluate control design...or License required (CIA, CISA, CPA, CFA, CRCM, CIFRS, Series 6 , 7, or 24, etc.) or… more
    First Horizon Bank (06/28/25)
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  • Registered Respiratory Therapist (Pulmonary)

    Veterans Affairs, Veterans Health Administration (Miami, FL)
    …recorders for precise measurement of airway obstruction, thoracic gas volume, compliance , and other parameters. The Incumbent operates a computerized system for ... appointed or reassigned to RRT positions in the GS-0601 series must possess and maintain for the duration of...Federal Employees earn annual leave at a rate (4, 6 or 8 hours per pay period) which is… more
    Veterans Affairs, Veterans Health Administration (07/15/25)
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  • Associate Tax Project Manager

    NextEra Energy (Juno Beach, FL)
    …candidate will have 6 + years of federal or state income/franchise tax compliance experience and be interested in getting involved in state income/franchise tax ... , state apportionment, planning, policy and M&A. **Professional Experience** + 6 + years of income/franchise tax compliance experience; experience with… more
    NextEra Energy (07/03/25)
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