Chief Compliance Officer- Broker Dealer

Exciting opportunity for a Senior Compliance Officer to join a strong broker-dealer headquartered here in Miami. Amazing opportunities for career growth! Hybrid work schedule.Responsibilities:Risk and ComplianceConduct audits and testing of broker/dealer branch offices for their compliance of written policies and proceduresProvide timely written reports to...

Exciting opportunity for a Senior Compliance Officer to join a strong broker-dealer headquartered here in Miami. Amazing opportunities for career growth! Hybrid work schedule.Responsibilities:Risk and ComplianceConduct audits and testing of broker/dealer branch offices for their compliance of written policies and proceduresProvide timely written reports to...

Exciting opportunity for a Senior Compliance Officer to join a strong broker-dealer headquartered here in Miami. Amazing opportunities for career growth! Hybrid work schedule.Responsibilities:Risk and ComplianceConduct audits and testing of broker/dealer branch offices for their compliance of written policies and proceduresProvide timely written reports to...

Responsibilities Develop and implement an effective legal compliance program Create sound internal controls and monitor adherence to them Draft and revise company policies Proactively audit processes, practices and documents to identify weaknesses Evaluate business activities (e.g. investments) to assess compliance risk Collaborate with external...

Job Description Chief Compliance Officer Onsite Work in Miami, FL 215-225k total comp. Talentry is looking for a Chief Compliance Officer to ensure our HIPAA, accreditation (URAC, VIPPS, ACHC, etc.), and statutory compliance. The right person will develop and revise policies and procedures, develop reports, and train personnel on compliance company wide....

BTG Pactual is an international financial services firm based in Brazil with offices around the world and over 25 years of experience. To learn more about the company, you can visit . This position is based in our Miami, FL office. This position is related to Alternative Products, such as hedge funds, private equity, real estate, and other alternative...

BTG Pactual is an international financial services firm based in Brazil with offices around the world and over 25 years of experience. To learn more about the company, you can visit www.btgpactual.com. This position is based in our Miami, FL office. This position is related to Alternative Products, such as hedge funds, private equity, real estate, and other...

BTG Pactual is an international financial services firm based in Brazil with offices around the world and over 25 years of experience. To learn more about the company, you can visit www.btgpactual.com. This position is based in our Miami, FL office. This position is related to Alternative Products, such as hedge funds, private equity, real estate, and other...

BTG Pactual is an international financial services firm based in Brazil with offices around the world and over 25 years of experience. To learn more about the company, you can visit . This position is based in our Miami, FL office. This position is related to Alternative Products, such as hedge funds, private equity, real estate, and other alternative...

MUST HAVES: Submit your CV and any additional required information after you have read this description by clicking on the application button. Bachelor's degree in Finance or related field 5+ years of securities industry experience in a supervisory or compliance capacity Bilingual in English and Spanish NASAA Series 65 or 66 PLUSSES: FINRA Series 7 &...

MUST HAVES: Bachelor's degree in Finance or related field5+ years of securities industry experience in a supervisory or compliance capacity Bilingual in English and Spanish NASAA Series 65 or 66 PLUSSES: FINRA Series 7 & 24 Day to day:The Deputy Chief Compliance Officer supports the Chief Compliance & Risk Officer in the development and implementation...

MUST HAVES: Bachelor's degree in Finance or related field5+ years of securities industry experience in a supervisory or compliance capacity Bilingual in English and Spanish NASAA Series 65 or 66 PLUSSES: FINRA Series 7 & 24 Day to day:The Deputy Chief Compliance Officer supports the Chief Compliance & Risk Officer in the development and implementation...

MUST HAVES: Bachelor's degree in Finance or related field5+ years of securities industry experience in a supervisory or compliance capacity Bilingual in English and Spanish NASAA Series 65 or 66 PLUSSES: FINRA Series 7 & 24 Day to day:The Deputy Chief Compliance Officer supports the Chief Compliance & Risk Officer in the development and implementation...

MUST HAVES: Bachelor's degree in Finance or related field5+ years of securities industry experience in a supervisory or compliance capacity Bilingual in English and Spanish NASAA Series 65 or 66 PLUSSES: FINRA Series 7 & 24 Day to day:The Deputy Chief Compliance Officer supports the Chief Compliance & Risk Officer in the development and implementation...

MUST HAVES: Bachelor's degree in Finance or related field5+ years of securities industry experience in a supervisory or compliance capacity Bilingual in English and Spanish NASAA Series 65 or 66 PLUSSES: FINRA Series 7 & 24 Day to day:The Deputy Chief Compliance Officer supports the Chief Compliance & Risk Officer in the development and implementation...

Job DescriptionJob DescriptionOverview:This is a Straight commission + bonus position with earning potential in excess of $150,000 in 2years. If you are not comfortable with working on straight commission plus strong bonuses then this may not be the right job for you! We are seeking a highly motivated and detail-oriented individual to join our team as a...

The Deputy Chief Compliance Officer for Insigneo Advisory Services supports the Chief Compliance & Risk Officer in the development and implementation of the Firm’s compliance program and plan of the investment adviser designed to promote compliance with applicable securities regulatory authorities including, but not limited to, SEC laws and regulations.Job...

The Deputy Chief Compliance Officer for Insigneo Advisory Services supports the Chief Compliance & Risk Officer in the development and implementation of the Firm’s compliance program and plan of the investment adviser designed to promote compliance with applicable securities regulatory authorities including, but not limited to, SEC laws and regulations.Job...

The Deputy Chief Compliance Officer for Insigneo Advisory Services supports the Chief Compliance & Risk Officer in the development and implementation of the Firm’s compliance program and plan of the investment adviser designed to promote compliance with applicable securities regulatory authorities including, but not limited to, SEC laws and regulations.Job...

The Deputy Chief Compliance Officer for Insigneo Advisory Services supports the Chief Compliance & Risk Officer in the development and implementation of the Firm’s compliance program and plan of the investment adviser designed to promote compliance with applicable securities regulatory authorities including, but not limited to, SEC laws and regulations.Job...