- Raymond James Financial, Inc. (St. Petersburg, FL)
- …including relevant regulations (eg FINRA, SEC), especially those associated with broker - dealer and registered investment advisor business models. + Planning, ... and skills obtained through education and to conduct comprehensive operational, compliance , and financial audits for Raymond James Internal Audit's Wealth Management… more
- Lincoln Financial (Tallahassee, FL)
- …and support for our Security and Enterprise departments by implementing and enforcing regulatory compliance and standards adherence. **What you'll be doing** + ... 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)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... test resources. * Applies mastered technical product knowledge to meet legislative, regulatory , taxation, and treatment of products. * Maintain knowledge on current… more