Compliance Officer - Miami, United States - Talentry LLC

Compliance Officer

2 weeks ago

Exciting opportunity for a Compliance Officer to join a strong broker-dealer headquartered here in Miami. Amazing opportunities for career growth Hybrid work schedule. · Responsibilities: · Risk and Compliance · Conduct audits and testing of broker/dealer branch offices for their ...

Compliance Officer

3 hours ago

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 ...

Compliance Officer

2 weeks ago

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 acti ...

Senior Compliance Officer

3 days ago

The Senior Compliance Officer plays a critical role in promoting a culture of compliance, risk management, and quality assurance. · Key Responsibilities: · Regulatory Compliance: · Ensure that all clinical trials conducted at the site comply with federal, state, and local regulat ...

Senior Compliance Officer

1 week ago

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 Compliance · Conduct audits and testing of broker/dealer branch offices fo ...

Compliance Team Officer

1 week ago

Summary: · Conducts continuous quality control inspections of staff in the field on assigned shifts and departments utilizing approved QA Forms derived from ICE Detention Standards. · *Please Note: This position is contingent upon a contract award. We will not be actively respo ...

Regional Compliance Officer, LATAM

24 minutes ago

Regional Compliance Officer, Latin America & the Caribbean Arthur J. Gallagher & Co. (Gallagher) is a global leader in insurance, risk management and consulting services. We help businesses grow, communities thrive and people prosper. We live a cultu Compliance Officer, Officer, ...

Fintech BaaS Compliance Officer

4 days ago

About Us: · Mbanq is a BaaS- Banking-as-a-Service provider with operations and customers in the United States. Mbanq was established to provide the technological capabilities necessary to create and operate digital financial services. Mbanq's solutions are suitable for both reta ...

Chief Compliance Officer- Broker Dealer

1 week ago

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 acti ...

Undergraduate Student Advisor and Compliance Officer

1 week ago

Provides admissions/academic advising to Pre-Nursing, Transfer, and Conditionally Accepted students. This position is also responsible for maintaining accurate and current data on student's health and regulatory status. Responsible for communicating with advisors, faculty, and cl ...

Undergraduate Student Advisor and Compliance Officer

1 week ago

Provides admissions/academic advising to Pre-Nursing, Transfer, and Conditionally Accepted students. This position is also responsible for maintaining accurate and current data on student's health and regulatory status. Responsible for communicating with advisors, faculty, and cl ...

Building Code Compliance Officer 1

4 days ago

Bachelor's degree. One year of experience in code enforcement, investigations, or administration at the local, state, or federal level is required. Additional experience in code enforcement, investigations, or administration at the local, state, or federal level may substitute fo ...

Regulatory and Economic Resources Compliance Officer 1

1 week ago

Bachelor's degree. One year of experience in the processing, investigation or enforcement of zoning regulations, building codes, health sanitation codes, environmental codes, nuisance codes, solid waste disposal codes or other municipal code enforcement regulations are required. ...

Senior Wealth Advisor SAFE Act

2 weeks ago

Citi Global Wealth brings together the full power of Citi to serve the entire continuum of wealth clients. The unified business supports ultra-high-net-worth individuals and family offices through Citi Private Bank, operates in the affluent and high-net worth segments through Cit ...

Director of Compliance

1 week ago

When it comes to money remittance services, Intermex is a leader you can trust. Founded in 1994, International Money Express (NASDAQ: IMXI) is a leading omnichannel provider of money transfer services. Focused on excellence, we always strive to provide unsurpassed quality and cus ...

tpg - environmental health & safety engineer

5 days ago

Job Description · Position Summary: The Environmental · Health & Safety Engineer will be responsible for leading the implementation · of the Company's Safety, Health and Environmental Program. The Safety Engineer · shall ensure compliance of Company and regulatory safety and envi ...

Tax Manager

4 days ago

Job Title: Tax Manager · Position Overview: · The firm is seeking a Tax Manager to oversee all aspects of tax compliance and reporting processes. This role involves managing tax planning strategies, ensuring compliance with regulations, and identifying optimization opportunities. ...

Fiduciary Risk Officer

1 week ago

Sabadell Overview · Sabadell is a global financial institution headquartered in Barcelona, Spain and one of Europe's oldest and most successful banking groups since its founding in 1881. Sabadell covers all areas of the financial business sector under a common denominator: profes ...

Compliance Associate

1 week ago

We are a clearing broker/dealer located in Miami, Florida in search of a Compliance Associate with 3-5 years of relevant experience working within the compliance department of a FINRA member firm. Preference will be given to applicants that have clearing firm experience and meet ...

Compliance Associate

1 week ago

OPERATIONS ASSOCIATE (Correspondent Clearing Firm) · We are a clearing broker/dealer located in Miami, Florida in search of a Compliance Associate with 2-3 years of relevant experience working within the compliance department of a FINRA member firm. Preference will be given to ap ...