- 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
- Robert Half Finance & Accounting (New York, NY)
- …knowledge of FINRA Regulations/Filings, policies/procedures, personal trading review/Personal Account Dealings, compliance testing and AML/KYC. Series 7 ... trading review/Personal Account Dealings, compliance testing and AML/KYC + Series 7 FINRA license is advantageous + Bachelor's Degree The Compliance … more
- University of Colorado (Aurora, CO)
- …Family Medicine Centerfield Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... Medicine 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
- MTA (Brooklyn, NY)
- Transit Management Analyst Series Job ID: 12880 Business Unit: New York City Transit Location: Brooklyn, NY, United States Regular/Temporary: Regular Department: NYC ... Aug 29, 2025 Description Job Title: Transit Management Analyst Series First Date of Posting: August 29, 2025 Last...Island Overhaul Shop Hours of Work: Various - primarily 7 :00 AM to 3:00 PM * Those who have… 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
- Wells Fargo (New York, NY)
- …+ Strong risk management and compliance skills + FINRA registration including Series 7 and 24 (or FINRA recognized equivalents) **Job Expectations:** + ... Registration for FINRA Series 7 & 24 must be completed...customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical… 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