• 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 (08/12/25)
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  • Broker Dealer Compliance

    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
    Robert Half Finance & Accounting (08/11/25)
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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 ... Medicine 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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  • Transit Management Analyst Series

    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
    MTA (08/30/25)
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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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  • Co-Head of Securities Based Lending

    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
    Wells Fargo (08/15/25)
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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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