Broker Dealer Compliance Jobs in Florida
1 - 4 of 4
Search Results - Broker Dealer Compliance Jobs in Florida
Leeds Professional Resources-Miami
We are seeking a Director of Compliance with Broker/Dealer experience to join our client's team! This role is responsible for overseeing the firm's entire compliance program to ensure adherence to all federal and state regulations and internal...
Read more
Bradesco Bank-Coral Gables
oversight of AML, OFAC, anti-bribery, and related compliance risks.
• Establish compliance oversight and monitoring of custody operations and related activities (e.g., SEI).
Broker-Dealer Compliance & Supervisory Principal
Serve as the designated Chief...
Read more
Zinvest Financial-Miami
Compliance Officer
Location: Miami, FL
Employment Type: Full-Time
Reports To: Chief Compliance Officer (CCO)
Zinvest Financial Service, LLC, an SEC-registered and FINRA-member introducing broker-dealer, is seeking a Compliance Officer to support...
Read more
Kovack Financial Network-Fort Lauderdale
preferred.
• 3-6 years of experience in broker-dealer compliance, new account supervision, regulatory supervision, or a related supervisory role.
• Strong working knowledge of FINRA and SEC rules and regulations, as well as broker-dealer and RIA supervisory...
Read more
Broker Dealer Compliance jobs in Florida – Similar offers:
Broaden your job search:
Don’t miss out on new job openings!
Create a job alert for: Broker Dealer Compliance, Florida
It's free, and you can cancel email updates at any time