• Compliance Governance & Operations Manager

    TD Bank (Fort Lauderdale, FL)
    …multiple tasks and competing priorities.** + **Proficiency with Microsoft Office applications.** + **FINRA license Series 7 , 63 &24** + **Life and Health ... who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance ,… more
    TD Bank (07/26/25)
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  • Risk Compliance Officer II…

    First Horizon Bank (Tampa, FL)
    …AND OFFICE EQUIPMENT SKILLS** 1. Microsoft Office suite **CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license , etc)** None required **About ... and Services to all applicable regulations in which Corporate Compliance has oversight responsibility. Must have a knowledge of...laws and regulations related to Consumer, Trust, and Commercial Compliance to be leveraged as part of other testing… more
    First Horizon Bank (07/24/25)
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  • Senior Advisor, Conflicts of Interest Supervision

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …+ Ability to perform analytics and create process efficiencies is a plus. + Series 7 required, Series 24 License (within 90 days of join), Series ... a high level of customer service. **Licenses/Certifications:** + Appropriate series license (s) for assigned functional area preferred...grandfathering cannot be applied. + Required to have a Series 7 , 24 (within 90 days of… more
    Raymond James Financial, Inc. (07/26/25)
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  • Wealth Regional Supervisor Specialist Team Leader

    Truist (Tampa, FL)
    …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53 and 66 licenses ( Series 9&10 can be used ... Series 66) Life/Health and Variable Insurance Licensing + 7 years related retail brokerage and/or investment advisory experience...+ Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of Available… more
    Truist (07/08/25)
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  • Central Supervision Analyst

    TD Bank (Coral Gables, FL)
    …College degree or equivalent experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 Required (or FINRA ... communications. This role works closely with the supervision, operations, compliance , and risk departments of the US Wealth organization....within scheduled time) + State Life & Health Insurance License (Preferred) + FINRA Series 65 or… more
    TD Bank (07/31/25)
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  • Advisor, Supervision Trade Review

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …education, and/or training approved by Human Resources. **Licenses/Certifications:** + Appropriate series license (s) for assigned functional area preferred or ... use of various reports and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA &...grandfathering cannot be applied. + Required to have a Series 7 , 9, 10 and 63 +… more
    Raymond James Financial, Inc. (07/04/25)
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  • Advisor, Supervision - Communications Review

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …education, and/or training approved by Human Resources. **Licenses/Certifications:** + Appropriate series license (s) for assigned functional area preferred or ... and analyze various communication reviews and content to ensure compliance with regulatory expectations and firm policies and procedures....grandfathering cannot be applied. + Required to have a Series 7 , 24 and 65, 63. … more
    Raymond James Financial, Inc. (07/26/25)
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  • Senior Advisor, Supervision- Investment Advisory

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …combination of experience, education, and/or training. **Licenses/Certifications:** * Appropriate series license (s) for assigned functional area preferred or ... advisors and branch managers and recommend actions to ensure compliance with existing rules and regulations as well as...grandfathering cannot be applied. o Required to have a Series 7 and 66 o Series… more
    Raymond James Financial, Inc. (07/15/25)
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  • Senior Advisor, Supervision- Dispute Resolution

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …of experience, education, and/or training. **Licenses/Certifications** + Series 7 Required, Series 9/10 or 24 license preferred + Appropriate series ... solutions to complex problems. **Essential Duties and Responsibilities** + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and… more
    Raymond James Financial, Inc. (07/26/25)
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  • Senior Manager, Centralized Risk Supervisor…

    Charles Schwab (Orlando, FL)
    …representatives to Senior Leadership. **What you have** Required Qualifications + Active and valid Series 7 license + Active and valid Series ... 66 license or equivalent + Active and valid Series 9/10 license or equivalent + 5+ years' supervision/ compliance /regulatory experience + Bachelor's… more
    Charles Schwab (08/02/25)
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