Broker/Dealer and RIA Supervisor

1 month ago


Orlando, Florida, United States International Assets Advisory, LLC Full time
Job Overview

We are seeking a highly motivated and experienced Broker/Dealer and RIA Supervisor to join our team at International Assets Advisory, LLC. This role provides the opportunity to work in a rapidly growing organization with a hybrid or remote schedule.

Key Responsibilities
  • Provide day-to-day supervision of independent contractor financial advisors' activities
  • Review exception reports, advertising, sales literature, and correspondence
  • Conduct branch examinations
Requirements and Skills
  • FINRA Series 7
  • FINRA 24 and 66 or the ability to obtain within 90 days
  • Minimum of two years compliance and/or supervisory experience
  • Strong knowledge of financial services industry and products and services
  • Knowledge of broker/dealer and/or registered investment advisor regulatory issues and compliance policies and procedures
  • Ability to prioritize and multi-task
  • Outstanding organizational and time management skills
  • Excellent verbal and written communications skills
  • Deadline and detail-oriented
  • Aptitude for analysis, investigation, and problem-solving
  • Excellent Microsoft Office knowledge

Candidates are subject to a background and credit check, pre-employment tests, and must be authorized to work in the US.



  • Orlando, Florida, United States International Assets Advisory, LLC Full time

    Job OverviewWe are seeking a highly motivated and detail-oriented Associate Compliance Officer to support our broker-dealer's Chief Compliance Officer (CCO) and compliance team. The ideal candidate will have a strong understanding of FINRA Broker-Dealer and SEC Registered Investment Advisor regulations.ResponsibilitiesConduct reviews of sales and trading...


  • Orlando, Florida, United States Trajan Wealth LLC Full time

    Unlock Your Potential as a Senior Financial AdvisorTrajan Wealth LLC, a leading Registered Investment Advisor (RIA) firm with over $2.5 billion in Assets Under Management (AUM) and Assets Under Advisement (AUA), is seeking a seasoned Financial Advisor to join our team in the vibrant Orlando area.As a trusted partner to our clients, you will be responsible...

  • Claims Team Lead

    4 weeks ago


    Orlando, Florida, United States Gallagher Full time

    Job Title: Claims SupervisorJob Summary:We are seeking an experienced Claims Supervisor to lead our Workers Compensation claims team. The successful candidate will have a strong background in claims management, excellent leadership skills, and the ability to motivate and guide a team to deliver high-quality service.Key Responsibilities:Supervise and lead a...


  • Orlando, Florida, United States Lotus Nursing and Rehabilitation Center Full time

    Job Title: Night Shift Nursing SupervisorLotus Nursing and Rehabilitation Center is seeking a dedicated and compassionate nursing professional to fill the role of Night Shift Nursing Supervisor.Job Summary:The Night Shift Nursing Supervisor is responsible for the overall supervision and management of all nursing staff in the facility during evening hours....


  • Orlando, Florida, United States Bachmann Chemical and Engineering Full time

    Job OverviewBachmann Chemical and Engineering is seeking a skilled Production and Maintenance Supervisor to oversee the site's production, maintenance, and shipping operations at our Orlando, Florida location.Key ResponsibilitiesEnsure exceptional equipment standards and performance by troubleshooting and performing complex maintenance and repair of site...

  • HVAC Field Supervisor

    4 weeks ago


    Orlando, Florida, United States American Plumbing Heating and Cooling - SarasotaBradenton Full time

    Lead the Way in Heating and Air Conditioning ExcellenceAre you a seasoned heating and air conditioning professional ready to take on a leadership role? American Plumbing Heating and Cooling - Sarasota/Bradenton is seeking an experienced HVAC Field Supervisor to spearhead our team's success. As a key member of our leadership team, you will be responsible for...

  • Production Supervisor

    2 weeks ago


    Orlando, Florida, United States Bachmann Chemical and Engineering Full time

    About UsBachmann Chemical and Engineering is a leading provider of specialized coatings and adhesives for the electronics industry. With locations in Ontario, Canada, Saratoga County, New York, and Orlando, Florida, we offer a comprehensive range of products and services to help our customers protect their electronics and improve their manufacturing...


  • Orlando, Florida, United States Bachmann Chemical and Engineering Full time

    About UsBachmann Chemical and Engineering is a leading provider of specialized coatings and equipment for the electronics industry. Our company is committed to delivering high-quality solutions that help customers lower costs, improve efficiencies, and increase their profitability.About the RoleWe are seeking a highly skilled and experienced Production and...

  • Claims Team Lead

    1 month ago


    Orlando, Florida, United States Gallagher Full time

    Job Title: Claims SupervisorAbout the RoleWe are seeking an experienced Claims Supervisor to lead our Workers Compensation claims team. The successful candidate will have a strong background in claims management and a proven track record of supervising high-performing teams.Key ResponsibilitiesSupervise a team of claims professionals handling a variety of...

  • Automotive Mechanic

    1 week ago


    Orlando, Florida, United States Tuffy Tire and Auto Service Full time

    Job SummaryWe are seeking skilled Automotive Technicians to join our team at Tuffy Tire and Auto Service. As an Automotive Technician, you will be responsible for performing vehicle repair and maintenance work as assigned and by following dealer and factory standards.Responsibilities Perform work as outlined on the repair order with efficiency and accuracy...

  • Claims Team Lead

    4 weeks ago


    Orlando, Florida, United States GB - Global Full time

    About the RoleWe are seeking a highly skilled Claims Supervisor to lead our Workers Compensation claims team in delivering exceptional service to our clients. As a Claims Supervisor, you will be responsible for supervising a team of claims professionals, promoting best practices, and driving talent development.Key ResponsibilitiesSupervise and lead a team of...

  • Automotive Technician

    2 weeks ago


    Orlando, Florida, United States Tuffy Tire and Auto Service Full time

    Job SummaryWe are seeking skilled Automotive Technicians to join our team at Tuffy Tire and Auto Service. As a key member of our team, you will be responsible for providing a full range of onsite maintenance and repair services for vehicles from various manufacturers.Responsibilities Perform vehicle repair and maintenance work as assigned and by following...


  • Orlando, Florida, United States Lotus Nursing and Rehabilitation Center Full time

    Night Shift Nursing Supervisor Job DescriptionThis position is responsible for the overall supervision and management of nursing staff on the night shift at Lotus Nursing and Rehabilitation Center.The primary responsibilities include providing direct nursing care to residents, ensuring the facility meets minimum staffing levels, and completing required...

  • Automotive Technician

    2 weeks ago


    Orlando, Florida, United States Tuffy Tire and Auto Service Full time

    Job SummaryWe are seeking skilled and hard-working Automotive Technicians to join our team at Tuffy Tire and Auto Service. As an Automotive Technician, you will be responsible for providing a full range of onsite maintenance and repair services for vehicles from various manufacturers.ResponsibilitiesPerform vehicle repair and maintenance work as assigned,...

  • Automotive Mechanic

    2 weeks ago


    Orlando, Florida, United States Tuffy Tire and Auto Service Full time

    Job SummaryWe are seeking skilled and experienced Automotive Technicians to join our team at Tuffy Tire and Auto Service. As a key member of our team, you will be responsible for providing high-quality vehicle maintenance and repair services to our customers.ResponsibilitiesPerform vehicle repairs and maintenance work as assigned, following dealer and...


  • Orlando, Florida, United States Ring Power Full time

    Main ResponsibilitiesAs a Field Service Technician III at Ring Power Corporation, you will be responsible for conducting all assigned work in a safe manner, adhering to all applicable safety, environmental, and contamination control policies, procedures, and regulations. You will wear proper personal protective equipment and maintain a high awareness of...


  • Orlando, Florida, United States Snider Fleet Solutions Full time

    Job Title: Heavy Duty Truck and Trailer SVC TechSnider Fleet Solutions is a leading provider of commercial tire dealers and retread service providers in the nation. We are seeking a skilled Heavy Duty Truck and Trailer SVC Tech to join our team.Job Summary:We are looking for a highly motivated and experienced Heavy Duty Truck and Trailer SVC Tech to repair...


  • Orlando, Florida, United States Lotus Nursing and Rehabilitation Center Full time

    Job Summary:This is a supervisory nursing role for the evening shift at Lotus Nursing and Rehabilitation Center. The primary responsibility is the overall supervision and management of all nursing staff in the facility.Key Responsibilities:Provide direct nursing care to residents, ensuring the facility meets minimum staffing levels for nurses and nurse...

  • HVAC Team Lead

    2 months ago


    Orlando, Florida, United States American Plumbing Heating and Cooling - SarasotaBradenton Full time

    About the RoleWe are seeking a highly skilled and experienced HVAC Field Supervisor to lead our team of heating and air conditioning professionals in the Orlando, FL area. As a key member of our team, you will be responsible for overseeing intricate installations, conducting AC service calls, and training and developing HVAC service technicians and...

  • Security Officer

    4 weeks ago


    Orlando, Florida, United States Universal Endless Summer Resort - Dockside Inn and Suites Full time

    Job OverviewAt Universal Endless Summer Resort - Dockside Inn and Suites, we're seeking a skilled Security Officer to join our team. As a Security Officer, you'll play a vital role in ensuring the safety and security of our guests and employees.We're committed to creating a workplace culture that's inclusive, engaging, and fun. If you're passionate about...