Job Search Results for financial advisor

{"JobID":290097,"JobType":["Contract-to-perm"],"EmployerID":null,"Location":{"Latitude":-82.4719090909091,"Longitude":27.9569090909091,"Distance":null},"State":"Florida","Zip":"33607","ReferenceID":"TPA-627209","PostedDate":"\/Date(1685448840000)\/","Description":"A large broker-dealer and registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and investment advisory organizations. This person ensures that all retail communication complies with states and federal laws, state insurance regulations, FINRA and SEC rules and regulations, and internal company standards. In this role, you will be managing financial advisor and regulator inquiries through multiple platforms such as a Salesforce que, email, and phone calls to either handle them yourself or escalate to the appropriate team member. You will interpret the impact of laws on new and existing retail communication, communicate changes and issues to the impacted business unit, field and customers, and track communication using applicable methods. We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to HR@insightglobal.com.To learn more about how we collect, keep, and process your private information, please review Insight Global\u0027s Workforce Privacy Policy: https://insightglobal.com/workforce-privacy-policy/ .","Title":"REMOTE Compliance Associate","City":"Tampa","ExpirationDate":null,"PriorityOrder":0,"Requirements":"-3 years of experience within compliance in a financial environment-Series 7 \u0026 24 registrations -- must be currently active-Bachelor\u0027s degree or equivalent experience -Great communication to internal stakeholders and external partners -Outgoing personality with the ability to maintain positivity in the workplace","Skills":"-Familiarity with Ad Review-Series 53 \u0026 4 registrations","Industry":"Financial Services","Country":"US","Division":"AF\u0026E","Office":null,"IsRemoteJob":true,"IsInternalJob":false,"ExtraValues":null,"__RecordIndex":0,"__OrdinalPosition":0,"__Timestamp":0,"Status":null,"ApplicantCount":0,"SubmittalCount":0,"ApplicationToHireRatio":0,"JobDuration":null,"SalaryHigh":42.0000,"SalaryLow":28.0000,"PayRateOvertime":0,"PayRateStraight":0,"Filled":0,"RemainingOpenings":0,"TotalOpenings":0,"Visa":null,"ClearanceType":null,"IsClearanceRequired":false,"IsHealthcare":false,"IsRemote":false,"EndClient":null,"JobCreatedDate":"\/Date(-62135578800000)\/","JobModifiedDate":"\/Date(-62135578800000)\/"}