- Raymond James Financial, Inc. (St. Petersburg, FL)
- …relevant regulations (eg FINRA, SEC), especially those associated with broker -dealer and registered investment advisor business models. + Planning, organizing ... and conducting audits. + Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner. + Enthusiastic, self-motivated, effective under pressure, and willing to take personal… more
- Deloitte (Lake Mary, FL)
- …Management, Data Access Governance, Data Loss Prevention, Cloud Access Security Broker , Encryption, Certificate Lifecycle Management, Cloud Security, SaaS Security + ... 4+ years of professional experience managing and implementing various encryption technologies (eg, database encryption, file encryption, Public Key Infrastructure (PKI), certificate lifecycle management (CLM), transport layer security(TLS)) and strong… more
- Arena Investors LP (Jacksonville, FL)
- Arena Investors, LP ("Arena") is a global institutional asset manager that provides creative solutions for those seeking capital in special situations. With more ... the Investment Advisers Act of 1940; . Support the CCO with FINRA broker -dealer requirements; . Monitoring of Client guidelines and restrictions; . Review of… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the service experience for independent registered investment advisors and introducing broker dealers for the custodian and clearing services platform. Strategic ... client needs while appropriately considering and managing business risk. Dynamic people manager with ability to build, motivate and retain a positive and highly… more
- AON (Lake Mary, FL)
- Account Manager , Consumer Benefits Solutions As part of an industry-leading team, you will help empower results for our clients by delivering innovative and ... supporting our Consumer Benefit Solutions Group. As an Account Manager , you will report directly to the Director of...vary from day to day based on current client, broker and carrier needs. Responsibilities: + Project managing of… more
- Zurich NA (Tallahassee, FL)
- …have the flexibility to work on a hybrid basis. You will partner with your manager to set a flexible work schedule that supports you, our customers, and our brokers ... either a Mid-Senior or Senior Underwriter level. The hiring manager will determine the appropriate level based upon the...Zurich: + You will develop and maintain relationships with broker partners and customers across all industries in support… more
- Guardian Life (Tallahassee, FL)
- …environment in the branch office. + Timely communicate preliminary findings to your manager and branch office management verbally and then in writing. + Assist, as ... of state insurance laws (inclusive of NAIC). + 3-5 years of broker -dealer and registered investment advisor compliance experience, with experience at an… more
- Citigroup (Miami, FL)
- …issues escalated + Review and approval of designated bank-channel and broker -dealer investments + Manage surveillance alerts within stated policy guidelines + ... + Assist with ad-hoc projects and/or workflow testing as assigned by Manager + Assist with coaching and training Registered Representatives when applicable +… more
- Zurich NA (Tallahassee, FL)
- …AVP, Underwriting Officer or VP Senior Underwriting officer level. The hiring manager will determine the appropriate level based upon the selected applicant's ... of underwriting + Establish new as well as develop existing agency and broker relationships + Working within limits and authorities on assignments of varying degrees… more
- Zurich NA (Tallahassee, FL)
- …AVP, Underwriting Officer or VP Senior Underwriting officer level. The hiring manager will determine the appropriate level based upon the selected applicant's ... of underwriting + Establish new as well as develop existing agency and broker relationships + Working within limits and authorities on assignments of varying degrees… more