- Citigroup (Miami, FL)
- …66 (63/65), 24 and 31. Series 9/10 also preferred + Knowledge of Bank and Broker - Dealer businesses, regulatory requirements and related policy + Knowledge of ... supervisory issues escalated + Review and approval of designated bank-channel and broker - dealer investments + Manage surveillance alerts within stated policy… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …on the firms' control environments. * Analyze asset managers' adherence to internal compliance policies and regulatory requirements. * Create and execute an ... offering terms, trading and operations, along with legal and compliance programs. The Director retains latitude for unreviewed decision...five to seven (5-7) years of experience at a broker / dealer , hedge fund, private equity firm, or… more
- Santander US (Miami, FL)
- …all regulatory aspects governing the ETD's and Clearing activities in a US Broker Dealer . + Proven track record of managing providers of outsourced services ... Liaise with internal / external auditors, and regulators to ensure compliance with regulatory requirements + Quality assurance on processes and new systems… more
- MUFG (Tampa, FL)
- …Risk Management with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap ... significance and impact on risk and/or risk management practices. + Maintain compliance with audit methodology, while also operating within industry best practices,… more
- Truist (Tampa, FL)
- …and managerial functions that are routinely associated with those of a retail broker / dealer and RIA. **Essential Duties and Responsibilities** + Manage a team ... and procedures. Ensure team is aware and understands all changes relating to compliance with industry rules, regulations as well as internal policies and procedures.… 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 ... to new and existing clients - the legal and compliance aspects of designing and administering life insurance and...position with third parties such as federal and state regulatory bodies and agencies + Prepare and maintain registration… more
- MUFG (Tampa, FL)
- …financial services industry; previous working experience within Capital Markets, Asset Management, Broker Dealer , Finance, Treasury and or risk management + ... to in the execution of the program throughout the full TPRM Lifecycle. + Compliance with applicable rules and guidance impacting the TPRM program including OCC, FBR,… more
- Lincoln Financial (Tallahassee, FL)
- …development + Knowledge of internal controls, business / information technology risk, regulatory and compliance frameworks (ITIL, NIST, COBIT, NY DFS, SEC, ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Lincoln Financial (Tallahassee, FL)
- …strategic projects. The team plays a critical role in ensuring model accuracy, regulatory compliance , and alignment with company strategy. This position will ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Lincoln Financial (Tallahassee, FL)
- …a high standard of service and governance for all programs. * Support audits, compliance reviews, regulatory filings and other duties as needed. **What we're ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more