• Central Supervision Analyst

    TD Bank (Coral Gables, FL)
    …Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central Supervision Analyst performs essential trade surveillance and electronic communications ... this role. **Line of Business:** TD Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the… more
    TD Bank (07/17/25)
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  • Compliance Analyst

    Insight Global (Miami, FL)
    …It involves contributing to broader compliance initiatives like market soundings and trade surveillance . We are a company committed to creating inclusive ... in the investment banking space is looking for an analyst to support the firm's compliance function. This person...legal operations . Familiarity with market soundings policy and trade surveillance - Exposure to investment banking… more
    Insight Global (07/22/25)
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  • Technology Lead Analyst

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …FL._** **Job Summary** This role is specific to the in-house Case Manager build for Trade , Surveillance and Account reviews. In this role you are required to act ... as a partner with the business to facilitate and implement the most optimal technology solutions, and ensuring they meet the business and organizational needs. You will be responsible for writing system requirements that guarantee the technology solution… more
    Raymond James Financial, Inc. (07/22/25)
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