Broker Dealer Compliance Specialist

We are seeking a highly motivated Broker Dealer and RIA Compliance Specialist to join our team at International Assets Advisory, LLC. The estimated salary range for this position is approximately $80,000 - $100,000 per year.Job OverviewThe Compliance Specialist will be responsible for supporting the broker-dealers' Chief Compliance Officer (CCO) and...

About the RoleAs a Broker/Dealer Compliance Manager at International Assets Advisory, LLC, you will play a critical role in ensuring our organization's compliance with industry regulations and company policies.Estimated Salary Range: $100,000 - $140,000 per yearKey ResponsibilitiesDevelop and implement compliance programs to ensure adherence to FINRA and SEC...

As a Broker/Dealer and RIA Oversight Specialist, you will provide general supervision of the sales activities of financial advisors. This includes reviewing and approving incoming and outgoing correspondence, as well as conducting branch examinations.Requirements and SkillsFINRA Series 7 licensureAbility to obtain FINRA 24 and 66 within 90 daysMinimum of two...

Job OverviewWe are seeking a skilled Broker/Dealer and RIA Lead to join our rapidly growing team in Orlando, Florida. As a key member of our team, you will be responsible for providing day-to-day supervision of independent contractor financial advisors.This role offers the opportunity to work in a dynamic environment with a hybrid or remote schedule,...

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...

International 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...

At International Assets Advisory, LLC, we are looking for a talented Associate Financial Services Regulatory Analyst to join our team. The estimated salary for this position is approximately $90,000 - $110,000 per year.Job DescriptionIn this role, you will be responsible for assisting the broker-dealers' Chief Compliance Officer (CCO) and compliance team in...

Job OverviewA leading broker-dealer is seeking a skilled Back Office Operations Specialist to join its team. The ideal candidate will be responsible for assisting Field Advisors with various client account inquiries and providing support with navigation of internal systems.Key ResponsibilitiesRespond to client account questions in a timely and professional...

Job Title: Compliance Specialist for Construction ProjectsWe are seeking a skilled Resident Compliance Specialist to join our team at WSB LLC in Orlando, FL.About the RoleThe Resident Compliance Specialist will be responsible for reviewing, monitoring, evaluating, and acting upon documentation required for Construction Contract compliance. This includes EEO...

Safety Compliance SpecialistWe are seeking a highly motivated Safety Compliance Specialist to join our team at FMPA. In this role, you will be responsible for ensuring compliance with state and federal regulations and developing and implementing a comprehensive safety program.About the RoleThe ideal candidate will have a strong background in occupational...

Job DescriptionInternational Assets Advisory, LLC is a rapidly growing Broker/Dealer/RIA based in Orlando, Florida, offering a unique opportunity for a skilled Financial Advisor Supervisor to join our team.This role involves providing day-to-day supervision of independent contractor financial advisors, reviewing exception reports, advertising, sales...

Job OverviewOrlando Health seeks an experienced Risk Compliance Specialist to manage its Ambulatory Surgery Centers (ASC). The ideal candidate will have a strong background in healthcare compliance, regulatory requirements, and risk management.Key ResponsibilitiesDevelops and Coordinates Facility or Assigned Area-Wide Systems for Risk Identification,...

About the RoleWe are seeking a highly skilled Tax Compliance Specialist to join our team at accesso. This is an excellent opportunity for a seasoned professional to utilize their expertise in tax compliance and accounting to drive business growth.The ideal candidate will have a strong background in tax compliance, accounting principles, and financial...

Dispatch Role SummaryWe are seeking a skilled Dispatch Role Summary Specialist to join our team at Winstar Investments Llc. This role involves managing the daily operations of our fleet of drivers, ensuring timely delivery of goods to customers, and maintaining strong relationships with drivers, customers, and brokers.Key Responsibilities:Dispatch drivers to...

Business Growth OpportunityWe're excited to offer an exceptional opportunity for an Area Business Growth Specialist to join our team at Pacific Specialty Insurance Co.In this role, you will be responsible for driving business growth through existing dealer relationships and identifying new business opportunities.Key Responsibilities:Develop and implement...

At Insight Global, we are seeking an experienced Industrial Safety Compliance Specialist to join our team in the utilities industry.About the Role:The successful candidate will have a deep understanding of OSHA safety regulations and will be responsible for managing, operating, and regulating safety policies, programs, and trainings for one of our clients....

Loyal Source Government Services is looking for a seasoned Cloud Security Engineer to join our team. As a Microsoft Security and Compliance Specialist, you will be responsible for leading our cybersecurity efforts.Key Responsibilities:• Lead risk management, security adoption, and governance efforts focusing on Microsoft Security and Compliance tools.•...

About Us:Pacific Specialty Insurance Co. has been a trusted partner in the powersports industry for over 45 years, providing unparalleled protection and support to motorcycle and watercraft enthusiasts.We're seeking an experienced Powersports Sales Specialist to join our team and drive growth in their assigned territory.Main responsibilities...

About the RoleWe are looking for a highly motivated Freight Delivery Specialist to join our team. In this role, you will be responsible for managing driver schedules, tracking shipment status, and communicating with customers and brokers. If you have a strong knowledge of logistics and freight management, we want to hear from you.

About the RoleDH Pace Company, Inc. is seeking a Senior Fire Door Compliance Specialist to provide leadership of our Compliance Program in Orlando, FL. As a key member of our team, you will promote our values-based service philosophy by offering code-compliant solutions to customers.Key ResponsibilitiesComplete daily inspections using a tablet to determine...