4 sec jobs at 3 companies in Arcadia, FL
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Financial Services Litigation Associate
Sarasota, Florida, United States
OnsiteFull Time
1+ YOEJuris Doctor and active Florida Bar required; 1–4 years litigation experience (FINRA/SEC/arbitration preferred); strong legal research, writing, and trial/deposition experience.
1mo
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Compliance & Quality Assurance Specialist
Palmetto, Florida, United States
OnsiteFull Time
5+ YOE5+ years in compliance/quality or related field, strong knowledge of SEC/FTC/FCC/FDACS and privacy, experience with audits, reviews, training development, proficiency with Asana and Microsoft Office.
Asana, Microsoft Office
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Financial Services Litigation Associate
Sarasota, Florida, United States
OnsiteFull Time
1+ YOEJuris Doctor and active Florida Bar required; minimum 1 year litigation experience (1-4 years preferred); experience with motions, discovery, depositions, legal research, and drafting; FINRA/SEC exposure a plus.
1mo
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Principal Review Analyst - Charlotte, NC
Charlotte or Portsmouth or Mount Laurel or Exton or Ramsey or Sarasota or Vienna or Greenville or Princeton or Manchester or Melville or White Plains or New York City or Boston or Hartford or Portland
$72k-$118k/yr OnsiteFull Time
5+ YOE5+ years brokerage experience, college degree or equivalent, FINRA Series 7 and Series 24 (or 9/10) required, state life & health license required, EMR not applicable; strong communication, prioritization, and regulatory knowledge (FINRA/SEC/AML/KYC).
Microsoft Office