- Arena Investors LP (Jacksonville, FL)
- …at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker-dealer compliance (ideally Series 7 or Series 14 ... expand the team through the addition of a senior Compliance Officer. In this role, this individual will work...of excellence while focusing on accuracy and efficiency. . 7 - 10 years of regulatory compliance … more
- First Horizon Bank (Memphis, TN)
- …or Business + Minimum 5 yrs. experience in broker-dealer Compliance or equivalent in legal, compliance or audit + Series 7 and 63 licenses required + ... **Description** FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary compliance surveillance, reporting, and guidance for all… more
- University of Colorado (Aurora, CO)
- …Family Medicine Centerfield Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... Family Medicine - Centerfield Clinic** **Open Rank - Senior Instructor Series ** **Position #: 00829204 - Requisition #35687:** **Job Summary:** **Examples of… more
- University of Colorado (Aurora, CO)
- …Family Medicine Westminster Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... UCHealth Family Medicine - Westminster Clinic** **Open Rank - Senior Instructor Series ** **Position #: 00829203 - Requisition #35634:** **Job Summary:** **1.0 FTE**… more
- Insight Global (Tampa, FL)
- …Requirements -3 years of experience within compliance in a financial environment - Series 7 & 24 registrations -- must be currently active -Bachelor's degree ... 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 are a… more
- Raymond James Financial, Inc. (Savannah, GA)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 , 9 & 10 required. + Series 63, 65 ... of the branch office. Directs day to day operational functions, ensuring compliance with firm and regulatory policies and procedures. Uses extensive knowledge and… more
- Vanguard (Malvern, PA)
- …(eg FINRA, state). These will be determined by Compliance based on role-specific duties. ( Series 7 , 14, 24 or 65, 66). (must obtain within 6 months if not ... In support of our innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and compelling issues while… more
- Citigroup (Jacksonville, FL)
- …industry. + Cross-disciplinary knowledge of compliance , operations, trading + **Required Licenses:** Series 7 , 9/10, 31, 63 & 65 (or 66). Candidates willing ... Oversight:** Reviewing escalated surveillance issues, performing transaction surveillance, providing compliance /supervisory guidance to sales & trading teams, and maintaining… more
- US Bank (St. Paul, MN)
- …preferred Series Professional certifications: FINRA Securities Industry Essentials (SIE), Series 7 , and 63 or 66 registrations. Basic Qualifications - ... or equivalent work experience - Typically more than three years of applicable experience - ** Series 7 ,** **and 63 or 66 registrations required.** ( Series … more
- Capital One (Plano, TX)
- …Specialists) certification, or CIPP (Certified Information Privacy Professional) certification, or Series 7 certification, Series 24 certification, or ... AML Compliance Advisory Manager The AML (Anti Money Laundering) Compliance Advisor Manager performs a key risk management role (second line of defense), to help… more