Compliance Advisor

Compliance- CCOSt. Petersburg, Florida (On-site)Webull Advisors is an SEC registered Investment Adviser focused on robo-advisory services. We are looking for a talented compliance professional in St. Petersburg, Florida to join our compliance department and provide support for our investment advisory services.Responsibilities:Contribute to the regulatory...

Compliance- CCOSt. Petersburg, Florida (On-site)Webull Advisors is an SEC registered Investment Adviser focused on robo-advisory services. We are looking for a talented compliance professional in St. Petersburg, Florida to join our compliance department and provide support for our investment advisory services.Responsibilities:Contribute to the regulatory...

Compliance OfficerWebull Advisors is seeking a talented Compliance Officer to join our compliance department in St. Petersburg, Florida. As a key member of our team, you will play a critical role in ensuring our investment advisory services comply with regulatory requirements.Key Responsibilities:Contribute to the development and implementation of our...

Customer Accounts Advisor St. Petersburg, Florida Overview A Customer Account Advisor plays a key role in assisting the Customer Accounts Department with lease agreement renewals. In this role you will also support the overall needs of the store by assisting other team members. You will have direct contact with customers and will act as a...

Job SummaryAs a Senior Advisor, Internal Audit, you will utilize your extensive knowledge and skills to conduct comprehensive audits and develop risk profiles of assigned processes within a functional area. You will lead the work of others to conduct audits with smaller scope and complexity, and participate in large or multiple audit projects with...

Job Summary The Cannabis Advisor is responsible for providing exceptional individualized customer service, educational consulting, and in some cases patient record management. Essential Duties and Responsibilities Possess a positive attitude while greeting customers and patients. Be an advocate of cannabis customer care. Help customers and patients navigate...

Compliance Resolution InvestigatorAt Edward Jones, we are seeking a highly skilled Compliance Resolution Investigator to join our team. As a Compliance Resolution Investigator, you will play a critical role in ensuring the firm remains in compliance with industry rules, regulations, and firm policies.Key Responsibilities:Investigate allegations of compliance...

About the RoleWe are seeking a highly skilled Tax Advisor to join our team at H&R Block. As a Tax Advisor, you will be responsible for providing tax preparation, tax audit support, and tax planning services to our clients year-round.Key ResponsibilitiesBuild and maintain strong relationships with clients to understand their tax needs and provide personalized...

OverviewThe Principal Compliance Officer – Regulatory Affairs is responsible for executing independent assessments related to regulatory inquiries and examinations. This role involves collecting and verifying data to formulate responses for regulatory and examination requests. The Principal Compliance Officer plays a crucial role in resolving business...

The Broker Dealer (BD) Compliance team is responsible for making sure that the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field on the policies and procedures of the BD, as well as the rules and regulations of our highly...

Job SummaryRaymond James Financial Private Client Group is seeking a highly skilled Manager to join the Advisor Onboarding Supervision team. The successful candidate will be responsible for managing the execution of the plan of supervision for transitioning financial advisors and other staff to Raymond James through the firm's advisor onboarding process.Key...

6 months+ contract with the opportunity for extension or conversionpay rate - 33/h This is an analytical/data entry centric regulatory role.The main duties include:Creation of Preliminary ADV Part 2Bs (disclosure forms regulated by SEC)Assist with daily exception reportsAssist with bi-weekly OBA reports Clean up of ended OBA special projectsRemoval of ended...

OverviewThe Lead Compliance Analyst – Regulatory Affairs is responsible for executing independent assessments related to regulatory inquiries and examinations. This role involves collecting and verifying data to formulate responses for regulatory and examination requests. The Lead Compliance Analyst plays a crucial role in resolving business issues and...

Job OverviewThe Branch Development division at Edward Jones is seeking a highly skilled Financial Advisor to join our team. As a key connection between branches and the home office, you will play a vital role in driving positive results in the core profit center of the firm and gaining critical insights that shape our business.As a Financial Advisor, you...

Are you an experienced recruiter looking to take your career to the next level? Are you passionate about recruiting top talent within the financial services industry? If so, the divisional advisor recruiting manager role could be your next career step with Edward Jones. The mission of this team is to ensure the right Experienced Financial Advisors are hired...

Investment Counsellor OpportunityFisher Investments International is seeking a skilled Investment Counsellor to join our team in Tampa, FL. As a key member of our client service team, you will be responsible for building and maintaining relationships with high-net-worth clients in the UK.Key Responsibilities:Develop and maintain a deep understanding of our...

Job Title: Customer Accounts AssociateJob Summary:Serves as the primary point of contact between Branches and the Home Office in a call center environment. Reviews, updates, maintains, and services accounts to protect the Firm, Financial Advisors, and clients by enforcing collection procedures, policies, regulations, and monitoring activity in accounts,...

Customer Accounts Advisor Saint Ann, Missouri Overview A Customer Account Advisor plays a key role in assisting the Customer Accounts Department with lease agreement renewals. In this role you will also support the overall needs of the store by assisting other team members. You will have direct contact with customers and will act as a...

Description Job Summary: Under general supervision, uses specialized knowledge and skills obtained through experience and specialized training, and preferably also certification, to perform a variety of intermediate level litigation support tasks, primarily focused on responding to litigation subpoenas, including locating documents, organizing and analyzing...

Job SummaryWe are seeking a highly skilled Divisional Advisor Recruiting Manager to join our team at Edward Jones. As a key member of our Human Capital Talent Acquisition team, you will be responsible for developing and implementing strategies to attract and recruit top talent in the financial services industry.Key ResponsibilitiesDevelop and maintain...