- Raymond James Financial, Inc. (St. Petersburg, FL)
- …principles and practices of the securities industry and asset management products. * Broker / dealer operations . **Skill in:** * Identifying the needs of ... * Maintains wholesaling activity logs and or databases to create and maintain broker profile levels and data on current and proposed sales activity. * Works… more
- Coinbase (Tallahassee, FL)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …products. + Advanced principles of banking, trust and finance and securities broker / dealer operations . + Wealth Planning offerings and partnerships, ... including longevity, insurance, and investments relationships. + Detailed and in-depth understanding of Money Guide Pro Elite and Wealth Studios **Skill in** + Excellent problem solving skills to identify the needs of clients through effective questioning and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …processes that support the service advisors for our independent advisors and broker - dealer relationships. This role offers exposure to the day-to-day functions ... & Custody Services Division (RCS) serves as a clearing firm for independent broker dealers and as a custodian for independent Registered Investment Advisor firms… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …general commercial agreements, including those critical to the operation of a broker - dealer , registered investment adviser, and a bank holding company. * ... contracts with particular focus on contracts required for the operation of a broker - dealer , registered investment adviser and bank holding company. * Developing,… more
- Santander US (Miami, FL)
- …in all regulatory aspects governing the ETD's and Clearing activities in a US Broker Dealer . + Proven track record of managing providers of outsourced services ... Pre & Post Trade ETD's & Clearing Operations VP Country: United States of America **Your...Make:** The Pre & Post Trade ETD's & Clearing Operations VP, is responsible for supporting and protecting CIB… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …for new offerings, corporate actions, and regulatory changes. Advocate for the broker - dealer industry within the mutual fund ecosystem and through active ... **Key Responsibilities** + Own the end-to-end mutual fund operations function, including governance of securities master and trading restrictions; trade execution… more
- Santander US (Miami, FL)
- …will be responsible for the execution of day-to-day controls related to the Broker Dealer . This includes ensuring high service quality, regulatory compliance, ... Bachelor's Degree or equivalent work experience 5-10+ Years of relevant experience; Broker Dealer experience. **Certifications:** * Other Risk Certification -… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …assigned. **Qualifications - External** **Knowledge, Skills, and Abilities:** **Knowledge of:** * Operations of broker dealers, hedge funds, private equity, and ... necessary to analyze investment structures, offering terms, trading and operations , along with legal and compliance programs. The Director...five to seven (5-7) years of experience at a broker / dealer , hedge fund, private equity firm, or… more