- Deloitte (Miami, FL)
- …in a financial services organization (preferably a bank, capital markets organization or broker - dealer ), regulatory agency, or consulting firm with a clear ... Regulatory & Financial Risk offering supports clients' regulatory and compliance needs, balancing risk and...risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk… more
- Arena Investors LP (Jacksonville, FL)
- …at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker - dealer compliance (ideally Series 7 or Series 14 ... middle and back-office personnel on a wide variety of regulatory compliance issues primarily in compliance...and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing… more
- Guardian Life (Tallahassee, FL)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- TD Bank (Fort Lauderdale, FL)
- …of the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to ... regulatory remediation + Familiarity with developing and implementing regulatory compliance risk management frameworks and programs, including … more
- PNC (FL)
- …The Compliance Program Advisor should have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) ... supporting the Risk, Change, Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may be performed from… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …procedures of the financial services industry. + Bank holding company and retail broker dealer clearing firm operations. **Skill in:** + Experience drafting ... creating and updating enterprise policies to ensure continued alignment with regulatory obligations. This includes facilitating: + The enterprise policy review and… more
- Charles Schwab (Orlando, FL)
- …(Word, PowerPoint, Excel, SharePoint). + Policy writing experience within a broker - dealer , registered investment adviser, or banking institution. **What's in ... us "challenge the status quo" and transform the finance industry together. The Compliance Reporting, Communications and Policies (CRCP) Team oversees all aspects of … more
- Lincoln Financial (Tallahassee, FL)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... **Requisition #:** 74750 **The Role at a Glance** The AVP, Product Compliance & State Filing provides leadership, direction and functional expertise to ensure… more
- Truist (Orlando, FL)
- …activities may change from time to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... supervisory functions that are routinely associated with those of a retail broker / dealer . **ESSENTIAL DUTIES AND RESPONSIBILITIES** Following is a summary of… 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