- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic… more
- Arena Investors LP (Jacksonville, FL)
- …others won't. Arena is looking to expand the team through the addition of a senior Compliance Officer . In this role, this individual will work closely with the ... compliance team and have regular interface with staff throughout...etc.) via the StarCompliance platform; . Maintenance of restricted trading list and watchlist; . AML/KYC risk-assessment and due-diligence;… more
- Scotiabank (Tampa, FL)
- …to results, in an inclusive and high-performing culture. **Director - US Regulatory Compliance Officer - Global Banking & Markets - Tampa, FL** **Global ... team, committed to results, in an inclusive and high-performing culture. **Purpose** The Compliance Officer will serve as the primary point of contact for… more
- Citigroup (Jacksonville, FL)
- …Oversight:** Reviewing escalated surveillance issues, performing transaction surveillance, providing compliance /supervisory guidance to sales & trading teams, ... The Markets Supervisory Officer will be responsible for: + **Overseeing Investment...Markets and the financial industry. + Cross-disciplinary knowledge of compliance , operations, trading + **Required Licenses:** Series… more
- The Hertz Corporation (Estero, FL)
- …supporting Securities and Exchange Commission ("SEC") filings and public company compliance , SOX compliance , Board of Directors materials, financing transactions ... subsidiary management, designated insider list administration and communications for trading windows, and drafting documents as needed, developing matter… more
- Deloitte (Miami, FL)
- …+ Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer ) + Professional Accreditation in EU Customs Law (post masters) ... technologies. Responsibilities include: + Helping importers and exporters achieve worldwide compliance and realize efficiencies in their global supply chain. +… more