- 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
- 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
- US Bank (St. Louis, MO)
- …- Bachelor's degree, or equivalent work experience - Typically 3+ years of applicable experience - ** Series 7 , Series 24, and Series 63 or 66 required. ... **Job Description** Partners with their assigned Line of Business, other Risk/ Compliance /Audit (RCA) professionals, and RCA Managers to, depending on their function,… more
- Cleveland Research Company (Cleveland, OH)
- Compliance Associate Cleveland Research Company is an independent research...least three of the four following FINRA exams: SIE, Series 7 , Series 24 and ... candidate to help promote and maintain the firm's culture of regulatory compliance . The Compliance Associate is a key resource for the firm by assisting the… more
- JPMorgan Chase (Jersey City, NJ)
- …Trade Surveillance or other Compliance function + FINRA General Securities licenses such as Series 7 , Series 24, Series 9 or 10 considered ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… more
- Amazon (Arlington, VA)
- …Auditing, Information Systems Management, Computer Science, Business, or other related fields. * 7 + years of experience in security or compliance consulting in ... Description As part of the Santos Supply Chain Security, Compliance , Privacy and Trust team, you will build the bridges between security, technology, operations, and… more
- PNC (San Antonio, TX)
- …and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. ... market developments, deal flow and regulatory requirements. Enforces strict compliance with all policies and regulations. Enforces compliance...Derivatives - SIE, Series 7 and 63 within 120 days… more
- PNC (Chicago, IL)
- …and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. ... developing select client relationships. Provides superior client experience. Ensures compliance with risk and regulatory requirements. May assist Senior...Derivatives - SIE, Series 7 and 63 within 120 days… more
- City and County of San Francisco (San Francisco, CA)
- + Application Opening: 6/23/2025 + Application Filing Deadline: 7 /14/2025 - NEW DEADLINE 7 /31/2025 + Recruitment ID: RTF0153557-01157651 APPOINTMENT TYPE: ... in San Francisco, we have 2,300 employees operating across eight counties serving more than 2. 7 million customers in the San Francisco Bay Area - 24 hours per day,… more
- Vanguard (Charlotte, NC)
- …and the related regulatory requirements (eg, Regulation CC, Regulation E, NACHA, etc.,) + FINRA Series 7 and Series 24 licenses and/or CRCM Certification is ... is a first-of-its-kind offer, and we're looking for a Compliance Specialist to help establish the monitoring and testing...it. In this role, you'll not only build the compliance foundation for a new product but also influence… more
- PNC (Winston Salem, NC)
- …and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. ... and market developments, deal flow and regulatory requirements. Ensures compliance with policies and regulations. Provides coaching to other...Derivatives - SIE, Series 7 and 63 within 120 days… more
- Guardian Life (Annapolis, MD)
- …broker/dealer as a plus. + Prior examination, auditing or testing experience. + Series 7 ; 24 licenses required or obtained within 120 days. + ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- TD Bank (Portland, ME)
- …and competing priorities.** + **Proficiency with Microsoft Office applications.** + **FINRA license Series 7 , 63 &24** + **Life and Health insurance license** + ... who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance ,… more