- Coinbase (Tallahassee, FL)
- …business. This role will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to ... * 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
- 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, ... SEC/ FINRA Regulatory Controls & Operational Oversight - VP...or equivalent work experience 5-10+ Years of relevant experience; Broker Dealer experience. **Certifications:** * Other Risk… 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 ... Division (RCS) serves as a clearing firm for independent broker dealers and as a custodian for independent Registered...functions (Excel, Word, PowerPoint, Visio is a plus). + FINRA and the SEC and how they oversee RIAs… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … operations area at a hedge fund, private equity firm, institutional consultant, or broker dealer + Client disclosure concepts and client confirms + All MS ... internal and/or external contacts to request assistance from or utilize expertise + FINRA and SEC rules **Skill in** + Organization and time management sufficient to… more
- 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 ... activity logs and or databases to create and maintain broker profile levels and data on current and proposed...that an exemption or grandfathering cannot be applied. * FINRA Series 7 and the ability to obtain other… more
- JPMorgan Chase (Boca Raton, FL)
- …services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are made ... role acts as a bridge between business development, sales, product, and operations teams, driving project delivery and supporting field adoption to achieve growth… 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, ... education, and/or training approved by Human Resources. **Licenses/Certifications** + FINRA Series 7, insurance or other applicable licenses or certifications… more