- 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
- 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)
- …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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … compliance . + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state securities regulatory ... assess privacy-related risk with business partners to identify and address privacy-related compliance gaps or areas of privacy risk in support of business… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC ) and platform policies and procedures as they apply to ... industry operations + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities… 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. (St. Petersburg, FL)
- …+ Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC ) and platform policies and procedures as they apply ... industry operations + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities… more
- MUFG (Tampa, FL)
- …Broker - Dealer and applicable regulations, such as DFA Swap Dealer, Volcker and FINRA , SEC and NASD rules. + Experience working with financial industry ... impact on risk and/or risk management practices. + Maintain compliance with audit methodology, while also operating within industry...regulators, including OCC, FRB, and FINRA + Deep knowledge of risk assessment, audit methodology,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …industry operations * Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities ... fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations and guidelines as well as firm policies governing advisory… more