Top 2998 Investment Jobs in Florida

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
Financial Advisor - Orlando, FL
Thrivent —Orlando, FL
- Background check
- Mid-level
- Business development
- Paid training
- AD&D insurance
Quick Apply
Financial Advisor - Sarasota, FL
Florida Financial Advisors —Sarasota, FL
- From $100,000 a year
- Full-time
- Office
- Financial services
- In-person
- Health insurance
- Opportunities for advancement
Quick Apply
5d
Service Advisor - North Central Florida Group - Tallahassee, FL
Thrivent —Tallahassee, FL
- $35,000 - $50,000 a year
- Research
- Mid-level
- Organizational skills
Quick Apply
Financial Advisor - North Central Florida Group - Tallahassee, FL
Thrivent —Tallahassee, FL
- Full-time
- Background check
- Private practice
- Bachelor's degree
- Paid training
- AD&D insurance
Quick Apply
Financial Advisor - Tampa/St. Petersburg, FL
Thrivent —Tampa, FL
- Background check
- Mid-level
- Business development
- Paid training
- AD&D insurance
Quick Apply
Financial Advisor
Foguth Financial Group —Naples, FL
- $100,000 - $500,000 a year
- Full-time
- Background check
- Mid-level
- Office
- Paid training
- Professional development assistance
Quick Apply
Financial Advisor - Tampa, FL
Florida Financial Advisors —Tampa, FL
- From $100,000 a year
- Full-time
- Office
- Financial services
- In-person
- Health insurance
- Opportunities for advancement
Quick Apply
5d
Financial Advisor - Melbourne, FL
Florida Financial Advisors —Palm Bay, FL
- From $100,000 a year
- Full-time
- Office
- Financial services
- In-person
- Health insurance
- Opportunities for advancement
Quick Apply
5d
Brokerage & Advisory Manager
Concorde Investment Services —Boca Raton, FL
- $100,000 - $130,000 a year
- Full-time
- Office
- Team management
- Recruiting
- Health savings account
- Health insurance
Quick Apply
Financial Advisor - Ft. Lauderdale/Miami/Boca Raton
Thrivent —Miami, FL
- Background check
- Mid-level
- Business development
- Paid training
- AD&D insurance
Quick Apply
Bilingual Paraplanner / Registered Licensed Series 7 Associate
TSG Financial Advisors —Winter Park, FL
- $55,000 - $70,000 a year
- Full-time
- Background check
- Spanish
- English
- Paid holidays
- Disability insurance
Quick Apply
Principal Underwriter
Health Network One —Miami, FL
- Finance
- Databases
- Analysis skills
Quick Apply
Business Broker Associate (uncapped commissions)
Corporate Investment Business Brokers —Fort Myers, FL
- $100,000 - $350,000 a year
- Email
- Sales
- Mid-level
- Microsoft Office
- Health insurance
- Dental insurance
Quick Apply
MCA Underwriter
Alternative Funding Group —Fort Lauderdale, FL
- $90,000 - $150,000 a year
- Full-time
- Mid-level
- Office
- 3 years
- Paid holidays
- Paid time off
Quick Apply
4d
Senior Financial Advisor
PFS Wealth Management Group —Naples, FL
- $150,000 - $300,000 a year
- Full-time
- Background check
- Office
- In-person
- Profit sharing
- Paid training
Quick Apply
Underwriter I
INSURICA INC —Fort Lauderdale, FL
- $55,000 - $65,000 a year
- Full-time
- Remote
- Microsoft Access
- Microsoft Outlook
- Writing skills
Accounting Assistant, Commissions Payable
Concorde Investment Services —Boca Raton, FL
- $60,000 - $80,000 a year
- Full-time
- Research
- Mid-level
- Office
- Health savings account
- Disability insurance
Quick Apply
Underwriter II
INSURICA, Inc. —Fort Lauderdale, FL
- $74,000 - $85,000 a year
- Full-time
- Remote
- Microsoft Access
- Microsoft Outlook
- Writing skills
Financial Advisor
First Command Financial Services, Inc. —Pensacola, FL
- $60,000 - $150,000 a year
- Choose your own hours
- Military
- Mid-level
- Bachelor's degree
- Paid training
Quick Apply

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investment jobs near florida

Senior Compliance Officer

Concorde Investment Services -
Boca Raton, FL

Quick Apply

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

Quick Apply

Refine Your Search

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