- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and compliance with Generally Accepted Accounting Principles (GAAP) and SEC requirements. * Manages the preparation of quarterly external reporting releases, ... - 6 to 10 years **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority ( FINRA... Sec Rep - Financial Industry Regulatory Authority ( FINRA ) **Travel** Less than 25% **Workstyle** Hybrid At Raymond… more
- Arena Investors LP (Jacksonville, FL)
- …. Experienced reviewing marketing materials in line with SEC and FINRA rules; . Experienced conducting annual compliance reviews; . Experienced managing ... and efficiency. . 7 - 10 years of regulatory compliance experience at a SEC -registered investment adviser...insurance clients; . Experienced administering regulatory filings with the SEC , FINRA , FCA, MAS and others; .… more
- TD Bank (Fort Lauderdale, FL)
- …ensuring alignment with strategic objectives + Strong knowledge of regulatory frameworks, including SEC , FINRA , OCC and other relevant bodies + FINRA ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At... **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Monitors regulatory compliance with internal and external groups including auditors, FINRA , IRS, SEC , and others. + Establishes objectives with a sense of ... Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority ( FINRA ), Series 7_TR - Sec Trader - Financial Industry Regulatory Authority ( FINRA ),… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …budgets and other financial analysis reports for complex business units (in compliance with GAAP, SEC , and regulatory requirements). Works with Technology ... with current accounting pronouncements that impact the business ensuring compliance with GAAP, SEC , and FHC rules...ability to obtain within 120 days (as required by FINRA ), may be required depending on assigned functional area.… more
- Raymond James Financial, Inc. (West Palm Beach, FL)
- …65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority ... maintaining a commitment to excellent service. + Responsible for compliance oversight and ensuring adherence to firm and regulatory...FINRA ), Series 8 or Series 9/10_SU - Gen Sec Sales Supervisor - Financial Industry Regulatory Authority (… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … reviews. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory ... them accordingly. + Coaches, trains, and mentors less experienced Compliance Specialists. + May serve as a "team lead"...May serve as a "team lead" for more junior compliance associates including potentially assisting in the talent selection… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … reviews. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory ... skills obtained through experience, specialized training and/or certification in securities compliance to ensure compliance with all securities and regulations… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Responsibilities** + Proactively ensures compliance with applicable industry rules (ie State, FINRA & SEC ) and platform policies and procedures as they apply ... (DOL); Employee Retirement Income Security Act (ERISA); Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state… more
- Insight Global (Tampa, FL)
- …all retail communication complies with states and federal laws, state insurance regulations, FINRA and SEC rules and regulations, and internal company standards. ... local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and.... Skills and Requirements -3 years of experience within compliance in a financial environment -Series 7 & 24… more