- 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, ... through education and experience to manage the preparation of SEC filings, conduct complex accounting research, and work with...ability to obtain within 120 days (as required by FINRA ), may be required depending on assigned functional area.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …of:** + Securities industry compliance practices, concepts, and procedures. + SEC , FINRA , FRB Bank Holding Company, and state regulatory frameworks. + ... a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation,...risks associated with Capital Markets activities, ensuring adherence to SEC , FINRA , FRB Bank Holding Company, and… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …associates, Technology Strategy and Alignment department, Supervision & Supervision management, Compliance & Standards Committee, and FINRA and SIFMA ... compliance . + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state securities regulatory… more
- Guardian Life (Tallahassee, FL)
- …will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …state banking regulatory agencies + Knowledge of Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state securities ... Duties and Responsibilities** + Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed, including: + Insider… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … compliance . + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state securities regulatory ... education, experience, specialized training and/or certification to serve as the compliance partner for the Global Wealth Solutions ("GWS") business line,… more
- Navy Federal Credit Union (Pensacola, FL)
- …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate ... an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures....documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies.… more
- Zoom (Tallahassee, FL)
- …not only customer-centric innovation but also adherence to regulatory standards (eg, FINRA , SEC , GDPR, data retention, archiving). You will maintain ... What you can expect As a Group Product Manager for Financial Services & Compliance , you will lead strategy and execution for Zoom's product offerings tailored to the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …infrastructure. + Privacy risk management. + Relevant risk based regulatory schemes. + FINRA , SEC , FRB and other regulations relevant to management of privacy. ... associates, budget, reporting structure, and division of responsibilities within Compliance department. + Oversees the privacy impact assessments (PIAs), data… more