Top 3761 Communication adviser Jobs

Senior Compliance Officer
Concorde Investment Services —Boca Raton, FL
- $105,000 - $120,000 a year
- Full-time
- Management
- Office
- Continuous improvement
- Health savings account
- Health insurance
Quick Apply
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VACAVILLE CHRISTIAN SCHOOL —Vacaville, CA
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Investment Adviser Representative
Wuest IFS —Knoxville, TN
- $42,000 - $70,000 a year
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Resident Director, Live-in (multiple opportunities)
University of Washington —Seattle, WA
- $48,564 a year
- Weekends as needed
- Residential
- Master's degree
- University
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Internal Wholesaler / Account Executive
HRC Financial Group —New York, NY
- $90,000 - $125,000 a year
- Full-time
- Salesforce
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Instructor - Medical Imaging
Columbus State Community College —Columbus, OH
- $54,033 - $60,516 a year
- Full-time
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Chief Compliance Officer
Eubel Brady & Suttman Investment + Wealth Management —Miamisburg, OH
- From $95,000 a year
- Full-time
- Writing skills
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- Office
- Health savings account
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1d
Retirement Plan Advisor, Business Development
Sentinel Group —Wakefield, MA
- Full-time
- 5 years
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- Free parking
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7d
Manager - Metallurgy Special Projects
Carpenter Technology —Reading, PA
- Full-time
- Bachelor's degree
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- Senior level
- Disability insurance
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Automotive Sales Consultant
Haley Automotive Group —Richmond, VA
- $70,000 - $95,000 a year
- Dealership
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- Entry level
- AD&D insurance
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Wealth Manager
LourdMurray —Los Angeles, CA
- $85,000 - $145,000 a year
- Full-time
- Hybrid work
- Background check
- 5 years
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6d
Service Advisor
RELIANCE AUTOMOTIVE —Hamilton, MT
- From $20 an hour
- Full-time
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- Word processing
- Computer literacy
- Health insurance
- 401(k)
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Service Advisor
I. Kitagawa and Company —Kailua-Kona, HI
- $5,000 - $10,000 a month
- Full-time
- Sales
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Securities Trading Associate
Centaurus Financial Inc. —Anaheim, CA
- $50,000 - $125,000 a year
- Full-time
- Background check
- Mid-level
- Office
- Health insurance
- Dental insurance
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Service Advisor
KONA AUTO CENTER INC —Kailua-Kona, HI
- $5,000 - $10,000 a month
- Full-time
- Sales
- Dealership
- Computer literacy
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Technical Sales-Systems Engineer
GTS Technology Solutions —Houston, TX
- $150,000 - $200,000 a year
- Full-time
- Hybrid work
- Background check
- Computer science
- Azure
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10d
Financial Representative/Advisor
Integrated Financial Concepts —Red Bank, NJ
- $71,284 - $200,000 a year
- Choose your own hours
- Hybrid work
- Background check
- Sales
- Customer service
- Health insurance
- Dental insurance
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12d
Entry Level Financial Services Professional
New York Life Insurance Company/NYLIC Securities —Melville, NY
- $60,000 - $110,000 a year
- Full-time
- Bachelor's degree
- In-person
- Entry level
- Health savings account
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Capital Projects Manager
Tahoe Transportation District —Stateline, NV
- $85,100 - $111,985 a year
- Full-time
- Hybrid work
- Background check
- 5 years
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Quick Apply

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Senior Compliance Officer

Concorde Investment Services -
Boca Raton, FL

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Job Details

Full-time
$105,000 - $120,000 a year

Benefits

Health savings account
Health insurance
Dental insurance
401(k)
Flexible spending account
Paid time off
Vision insurance
401(k) matching
Professional development assistance
Flexible schedule
Life insurance

Qualifications

Securities & Exchange Commission
Series 7
Team development
Continuous improvement
Series 24
Alternative dispute resolution
Financial services
Training & development
Series 63

Full Job Description

About Us

Concorde Holdings, Inc. is an innovative and rapidly expanding financial services firm specializing in broker-dealer, registered investment advisor (RIA), and insurance agency solutions. We pride ourselves on delivering exceptional investment, advisory, and insurance services to both financial professionals and clients. As we continue to scale, we are looking for a detailed and hands-on Senior Compliance Officer.

Role Summary

The Senior Compliance Officer supports the firm’s compliance program across its broker‑dealer, investment adviser, and insurance operations. This role is responsible for regulatory responses, customer complaint oversight, dispute and arbitration support, licensing and registrations, compliance training, continuing education programs, and other compliance support as needed. The Senior Compliance Officer assists the CCO with the firm’s compliance initiatives and leads key operational components of the firm's compliance infrastructure.

Key Responsibilities

Regulatory Inquiries, Exams & Responses

Assist the CCO with SEC and FINRA examinations, including document production, coordination, and drafting portions of exam responses.
Other regulatory inquiries, including state securities regulators, state insurance departments, FINRA matters unrelated to full firm examinations, and other ad‑hoc inquiries.
Prepare written responses, remediation steps, and required follow‑up.

Customer Complaints, Incidents & 4530 Reporting

Investigate and respond to customer complaints, coordinating with senior leadership and legal when appropriate.
Administer the Rule 4530 program, including event analysis, immediate (a)/(b) reporting, and quarterly (d) statistical filings, consistent with your complaint decision framework.

Arbitration, Disputes & Disclosure Filings

Support arbitration matters, including information gathering, response drafting, and coordination with outside counsel.
Oversee Form U4 and U5 amendments, ensuring accuracy and timeliness (30‑day reporting windows) in alignment with internal WSPs.

Licensing, Registration & Onboarding Controls

Manage firm and associated‑person licensing and registrations.
Oversee registration workflows, branch filings, OBA updates, and CE tracking requirements.

Compliance Training & Continuing Education (CE)

Conduct annual needs analysis, risk‑based topic selection, and course design.
Administer platform logistics, track completion, and document CE evidence.
Oversee state-required IAR CE course assignments, completions, and renewal readiness.
Maintain documentation for audits and ensure state filings are timely.
Track and ensure completion of S101/S201/S901 and any regulatory element updates required by FINRA.
Maintain evidence records in compliance systems and incorporate CE status into onboarding, heightened supervision, and field supervision processes.

Regulator & Internal Stakeholder Interaction

Serve as a key point of contact for regulator communications (outside of formal exams).
Provide compliance guidance to internal departments and field partners.

Leadership & Team Development

Manage, train, and mentor other members on the compliance team; set priorities, develop workflows, and oversee quality of work.
Promote documentation standards, continuous improvement, and service excellence.

Job Type: Full-time

Pay: $105,000.00 - $120,000.00 per year

Benefits:

401(k)
401(k) matching
Dental insurance
Flexible schedule
Flexible spending account
Health insurance
Health savings account
Life insurance
Paid time off
Professional development assistance
Vision insurance

Application Question(s):

Do you have at least 5 years of experience in the financial services industry (preferably in a compliance role)?
Do you currently have the following license criteria? Series 7, Series 63, and Series 65 or Series 66 and Series 24.

Work Location: In person

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