Compliance Risk Manager
4 days ago
International Assets Advisory, LLC is seeking a highly skilled Compliance Risk Manager to support our broker-dealer's Chief Compliance Officer (CCO) and compliance team.
Job OverviewThe ideal candidate will have experience in regulatory compliance within a broker-dealer and an understanding of FINRA Broker-Dealer and SEC Registered Investment Advisor regulations. As a Compliance Risk Manager, you will assist in monitoring the regulatory compliance program and reporting directly to the CCO.
Responsibilities:
- Review sales and trading activities of financial advisors
- Conduct licensing and registration activities for broker dealer and RIA, including Form U4, U5, and disclosures
- Respond to state registration inquiries
- Participate in onboarding new advisors
- Track, report, and resolve deficiencies related to exception reports
- Assist in investigating customer complaints and FINRA/SEC inquiries
- Provide monthly and quarterly compliance reports to the CCO
We offer a competitive salary range of $85,000 - $110,000 per year, depending on experience.
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Compliance Risk Management Specialist
4 weeks ago
Orlando, Florida, United States Health First Full time**Job Title:** Compliance Risk Management Specialist **Job Summary:We are seeking a highly skilled Compliance Risk Management Specialist to join our team at Health First. This role will be responsible for supporting the Corporate Integrity program through the facilitation and administration of compliance activities related to the operation of the compliance...
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Compliance Risk Manager
7 days ago
Orlando, Florida, United States International Assets Advisory, LLC Full timeInternational Assets Advisory, LLC is seeking an experienced Compliance Risk Manager to support the broker-dealers' Chief Compliance Officer (CCO) and compliance team. Estimated salary for this position in the United States is around $85,000 - $105,000 per year.Job DescriptionIn this role, you will assist in supporting and monitoring the regulatory...
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Claims and Compliance Specialist
4 weeks ago
Orlando, Florida, United States Loews Hotels, LLC Full timeJob DescriptionAbout Loews Hotels, LLCWe are a world-class team that brings to life the incredible hotels located at Universal Orlando Resort. Named one of Central Florida's Top Workplaces and one of America's Best-in-State Employers by Forbes, we are committed to our power of 'we' culture.Job SummaryThis role is responsible for managing all workers...
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Risk and Compliance Specialist
7 days ago
Orlando, Florida, United States Hilton Grand Vacations Full timeAbout the JobWe are seeking an experienced Senior Internal Auditor to join our team at Hilton Grand Vacations. As a key member of our internal audit function, you will be responsible for performing individual internal audit projects, developing internal audit scope, and preparing internal audit reports reflecting the results of the work performed.The ideal...
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Orlando, Florida, United States The Bancorp Full timeWe are seeking a skilled Document Compliance and Risk Management Specialist to join our team at The Bancorp Bank, N.A.About the RoleThis is a challenging and rewarding opportunity for a highly motivated individual to work in a fast-paced environment and contribute to the success of our organization.The successful candidate will be responsible for ensuring...
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Risk Management Analyst
2 days ago
Orlando, Florida, United States Mastech Digital Full timeThe Job Summary: Job DescriptionMastech Digital seeks a Compliance, Risk, Audit - Know Your Customer (KYC) Analyst for our client in the Professional Services domain.This is a contract role that requires immediate start. The ideal candidate will possess 3-5+ years of experience in compliance, risk management, and audit.Key Responsibilities:Communicate with...
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IT Security Officer
2 days ago
Orlando, Florida, United States Engenium Staffing Full timeCybersecurity and Risk Management PositionEngenium Staffing is seeking an experienced Cybersecurity and Risk Management Professional to join our team. As a key member of our cybersecurity team, you will be responsible for ensuring the security and integrity of our clients' information systems.Key ResponsibilitiesProvide continuous security monitoring of...
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Senior Electrical Risk Manager
3 days ago
Orlando, Florida, United States Owen Electric Company, Inc Full timeAbout the RoleWe are seeking a Senior Electrical Risk Manager to join our team at Owen Electric Company, Inc. As a Senior Electrical Risk Manager, you will be responsible for managing electrical safety risks and implementing strategies to mitigate them.Key ResponsibilitiesRisk Assessment: Conduct risk assessments to identify potential electrical safety...
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Orlando, Florida, United States International Assets Advisory, LLC Full timeJob OverviewWe are seeking a seasoned Associate Compliance Officer to join our team at International Assets Advisory, LLC.Salary Range$65,000 - $90,000 per year, depending on experience.Key ResponsibilitiesSupport the Chief Compliance Officer in monitoring and maintaining regulatory compliance programs.Conduct thorough reviews of sales and trading...
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Cybersecurity Risk Management Strategist
2 weeks ago
Orlando, Florida, United States Leidos Full timeJob OverviewCybersecurity Risk Management Strategist sought by Leidos to join their team at Kennedy Space Center. As a Cybersecurity Specialist, you will be responsible for implementing and executing risk management processes using NIST 800 series special publications, FIPS, and FISMA compliance frameworks.
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Cybersecurity Risk Management Expert
2 weeks ago
Orlando, Florida, United States Leidos Full timeAbout the RoleWe are seeking a highly skilled Cybersecurity Risk Management Expert to join our team at Leidos. In this role, you will be responsible for implementing and executing risk management processes by utilizing National Institute of Standards and Technology (NIST) 800 series special publications, Federal Information Processing Standards (FIPS), and...
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Risk Management Director for Hotel Operations
4 weeks ago
Orlando, Florida, United States Loews Hotels, LLC Full timeLoews Hotels, LLC seeks a seasoned Risk Management Director to oversee hotel operations and ensure compliance with federal, state, and local safety regulations.The ideal candidate will have at least 5 years of risk management experience, a bachelor's degree or equivalent, and thorough knowledge of risk management and loss prevention standards and...
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Risk Management Specialist
3 days ago
Orlando, Florida, United States Sonic Automotive Full time**About Us**Sonic Automotive is a leading retailer of new and used vehicles, with a focus on providing exceptional customer service and building a culture of safety within our organization.We are seeking a highly skilled Risk Management Specialist to join our team in Florida. As a key member of our risk management department, you will be responsible for...
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Orlando, Florida, United States Engenium Staffing Full timeAbout the RoleEngenium Staffing is seeking a highly skilled IT Security Officer - Risk Compliance to join our team. As a key member of our cybersecurity team, you will be responsible for ensuring the security and integrity of our clients' information systems.ResponsibilitiesDevelop and maintain all DoD requirements, including the DAAPM & Risk Management...
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Senior Pharmacovigilance Compliance Manager
2 weeks ago
Orlando, Florida, United States AssistRx Full timeJob SummaryWe are seeking an experienced Senior Pharmacovigilance Compliance Manager to lead our frontline operational support for pharmacovigilance activities. The successful candidate will be responsible for ensuring consistent alignment with global regulatory requirements for drug safety, reporting, and risk management.
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Orlando, Florida, United States Lakewood Regional Support Bldg Full timeJob SummaryWe are seeking a highly organized and detail-oriented Risk Management Coordinator to join our team at Lakewood Regional Support Bldg. In this role, you will be responsible for managing all workers compensation claims, ensuring compliance with LHUO return to work policy, and maintaining property-specific OSHA compliant first aid logs.Key...
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Technology Risk Manager
7 days ago
Orlando, Florida, United States Greater Orlando Aviation Authority Full timeWe are seeking a Technology Risk Manager to join our team at the Greater Orlando Aviation Authority. In this role, you will be responsible for managing the risks associated with our technology infrastructure, ensuring the security and integrity of our systems and data.Responsibilities:You will identify, assess, and mitigate risks to our technology systems,...
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Orlando, Florida, United States Dignitas Technologies Full timeWe are seeking an experienced Cybersecurity Risk Manager to join our team at Dignitas Technologies. This is a unique opportunity for someone who wants to take their career to the next level and work on challenging projects in a dynamic environment.As a Cybersecurity Risk Manager, you will be responsible for guiding information systems through the DoD's Risk...
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Chief Compliance Officer
4 weeks ago
Orlando, Florida, United States Christian Care Ministry Full timeJob Title: Chief Compliance OfficerJob Summary:The Chief Compliance Officer (CCO) will be responsible for developing, implementing, and overseeing the company's compliance program to ensure adherence to all applicable laws, regulations, and standards.Key Responsibilities:Develop, implement, and manage a comprehensive compliance program that aligns with...
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Cybersecurity Risk Management Specialist
4 days ago
Orlando, Florida, United States AssistRx Full timeJob OverviewWe are seeking a highly skilled and motivated Security Analyst to join our team at AssistRx, Inc.A competitive salary of $90,000 - $110,000 per year is offered based on qualifications and experience. In addition to the salary, we provide a comprehensive benefits package including medical, dental, vision, life, & short-term disability insurance,...