- Citigroup (Tampa, FL)
- …we deliver products and solutions. We are part of the Investment Banking Division [internally known as Institutional Client Groups / ICG] supporting the Capital ... 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …via webinars, and newsletters. + Conducts complex research and reports findings to Compliance , Legal, Division Supervision, and Division Management partners. ... Skills, and Abilities** **Knowledge of:** + Concepts, practices, and procedures of securities industry compliance reviews. + Rules and regulations of the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …will lead and oversee the design, implementation, and supervision of a comprehensive compliance program for the Capital Markets division . This role requires ... with business objectives, ensuring operational excellence. **Advanced Knowledge of:** + Securities industry compliance practices, concepts, and procedures. +… more
- Truist (Orlando, FL)
- …originated through a variety of channels including the Community Bank, Wealth Division , Premier, Team Mate Banking and Electronic Delivery Channels in a centralized ... releases, conservation and regular easements including collateral types of Securities , Real Estate (1-4 Family and Commercial), Marine, Auto, Boat/Motor/Trailer,… more
- Truist (Orlando, FL)
- …items by ensuring that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal policies and procedures. Serve ... dedicated resource for all supervisory functions related to the respective complex/ division . **ESSENTIAL DUTIES AND RESPONSIBILITIES** Following is a summary of the… more
- Truist (Jacksonville, FL)
- …items by ensuring that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal policies and procedures. ... to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems… more
- Truist (Tampa, FL)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... * FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance… more
- Cardinal Health (Tallahassee, FL)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... as the primary legal partner to leaders of a division within a business unit, providing counsel on legal...This job also reviews external communications to confirm legal compliance and liaises with a variety of Legal and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …risk. Works with internal and external business partners to ensure regulatory compliance within the Bank's Corporate Banking division . Influences strategic ... skills obtained through education, experience and/or certification in banking industry regulatory compliance to ensure first line compliance with banking rules… more
- Truist (West Palm Beach, FL)
- …who will enhance business development efforts. 7. Work within existing audit, compliance and regulatory framework in order to ensure a high quality, compliant ... for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7,...eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical,… more