• Compliance Officer - Vice President

    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
    Arena Investors LP (05/13/25)
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  • Compliance Officer II

    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
    First Horizon Bank (08/01/25)
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  • Family Physician CU Medicine Family Medicine…

    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 (06/12/25)
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  • Family Physician UCHealth Family Medicine…

    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
    University of Colorado (06/07/25)
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  • REMOTE Compliance Associate

    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
    Insight Global (07/15/25)
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  • Senior Branch Operations Manager (Savannah, GA)…

    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
    Raymond James Financial, Inc. (06/06/25)
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  • Senior Compliance Director, Head…

    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
    Vanguard (06/11/25)
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  • Supervisory Principal

    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
    Citigroup (08/08/25)
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  • Investments and Insurance Compliance

    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
    US Bank (08/08/25)
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  • AML Compliance Advisory Manager

    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
    Capital One (06/19/25)
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