- Guardian Life (Tallahassee, FL)
- …to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...of base pay for the primary location of the position . The salary for this position ultimately… more
- Lumen (Tallahassee, FL)
- …assist with Annual Shareholder Meeting. + Maintain policies and procedures relating to securities law compliance and disclosure matters. + Advise and assist ... function to play in supporting the SVP in managing Lumen's Governance and Securities . The ideal candidate will be responsible for ensuring regulatory compliance … more
- Lincoln Financial (Tallahassee, FL)
- …accounts. The Funds Management compliance team primarily oversees compliance with federal securities regulations relating to these companies/accounts ... with internal/external stakeholders to ensure transparency and consistency of compliance actions. ADDITIONAL POSITION RESPONSIBILITIES + Carries out… more
- Chewy (Plantation, FL)
- …from you! Come run with the Pack! **What You'll Do:** + Provide advice on compliance with securities laws and NYSE rules and regulations + Support the ... ability to work independently in a fast-paced environment. This position will report to the Director, Associate General Counsel....+ At least 5+ years relevant SEC reporting and securities law compliance experience; at least 3+… more
- USAA (Tampa, FL)
- …a securities principal as appropriate: In conjunction and coordination with Securities Counsel and Securities Compliance , provides research and ... maximize effectiveness of member acquisition and relationship efforts. Maintains compliance with policies, procedures, and regulatory requirements We offer...be **in the office 4 days per week.** This position will be based on the Plano, TX or… more
- USAA (Tampa, FL)
- …responsibilities of a securities principal: In conjunction and coordination with Securities Counsel and Securities Compliance , provides research and ... Executes process improvements and leads organizational process changes. Maintains compliance with policies, procedures, and all applicable regulatory requirements.… more
- Citigroup (Tampa, FL)
- …Sr Analyst_** The Sec & Derivatives Sr Analyst is an intermediate level position responsible for reviewing orders and transactions originating from trading desks and ... to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Resolve complex process problems… more
- Citigroup (Tampa, FL)
- The Sec & Derivatives Sr Analyst is an intermediate level position responsible for processing orders and transactions originating from client-directed branch offices ... to facilitate the clearance, settlement, and investigation of client securities transactions while simultaneously providing excellent client service. **Responsibilities:**… more
- Citigroup (Tampa, FL)
- …**The Role:** **The Sec & Derivatives Manager is an intermediate management level position responsible for providing leadership and direction to a team of employees ... objective of this role is to ensure the seamless delivery of securities and derivatives transactions, while also playing an integral role in thought-leadership… more
- Citigroup (Tampa, FL)
- The Lead Counsel II is a senior level position responsible for providing legal guidance and thought leadership to the business. The overall objective of this role is ... Security Agency Trading business through the negotiation of the Master Securities Forward Transaction Agreement. Applicants should have experience in GSE Agency… more
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