1 - 10 of 350

compliance advisor jobs near Tampa, FL


  • Audit Senior Manager

    CPR My Career

    - Tampa, FL

    ensuring their completeness, accuracy and compliance with Firm and professional ... Firm and professional guidelines. -Ensures compliance with engagement independence...

    8 days ago from CPR My Career
  • Compliance Advisor/Finance

    NEW

    Raymond James

    - Tampa, FL

    $475 billion. Job Description: Compliance Advisor I - RJFS w/ Travel-1402520 ... compliance database. Coordinates internal compliance examinations and regulatory agency...

    3 days ago from ZipRecruiter
  • Compliance Advisor II - Ad Review - AMS

    Raymond James - Finance Industry

    - Tampa, FL

    related to compliance. • Develops documentation related to compliance issues to ... compliance reviews and identifying compliance irregularities. • Monitoring employee...

    4 days ago from VelvetJobs
  • Compliance Advisor III - PCG

    Raymond James - Finance Industry

    - Tampa, FL

    For both Securities and RIA Compliance Advisor I: • Conducts and analyzes ... compliance reviews and identifying compliance irregularities. • Monitoring employee...

    4 days ago from VelvetJobs
  • Associate Financial Advisor

    AIG

    - Tampa, FL

    * Gaining experience under a seasoned advisor Promotional opportunity upon proven ... This position reports to a Financial Advisor and District Manager that will...

    4 days ago from CareerBuilder
  • RJ Advisory Compliance Advisor I

    Raymond James - Finance Industry

    - Tampa, FL

    and analyze compliance reviews and providing compliance support within the Compliance ... Licenses/Certifications: RIA ( SEC) Advisor: Series 7 License and Series 63/65 or Series 6...

    5 days ago from VelvetJobs
  • Regulatory Compliance Project Manager

    Provider of Microcomputer Hardware and Softwares

    - Clearwater, FL

    keyglobal and regional compliance projects (Compliance Classification, Audits/Self ... Regulatory Compliance Candidates with compliance (Import and Export) management AND...

    4 days ago from IvyExec
  • Financial Advisor

    Integrity Financial

    - Tampa, FL

    401(k) Advisor A Wealth Manager and 401(k) Advisor is responsible for servicing existing ... alliances, community leaders, advisor and referral sources Strong knowledge of...

    13 days ago from ZipRecruiter
  • Supervision Specialist/Compliance/Finance

    NEW

    Raymond James

    - Tampa, FL

    Duties and Responsibilities: Conducts compliance and suitability reviews, and ... sales, sales management, operations, or compliance. ~or~ Any equivalent combination...

    3 days ago from ZipRecruiter
  • Compliance Advisor I - Activity Review Team

    Raymond James - Finance Industry

    - Tampa, FL

    and skills in financial services industry compliance obtained through education, ... compliance reviews and provide general compliance support in an assigned business...

    5 days ago from VelvetJobs
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