- 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
- MyFlorida (Tampa, FL)
- …Compensation Estimator Tool (https://compcalculator.myflorida.com/) OPEN COMPETITIVE EMPLOYMENT OPPORTUNITY DIVISION : SECURITIES BUREAU: ENFORCEMENT CITY: TAMPA ... (4) or more years of professional examination, regulatory or compliance work experience relating to securities dealers,...as needed. Stays abreast of significant changes in the securities laws and regulations. As requested by Division… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Abilities** **Knowledge of:** + Concepts, practices and procedures of investment advisory, securities industry and/or banking compliance reviews. + Rules and ... **Essential Duties and Responsibilities** + Assist with compliance governance reporting for all compliance pillars, including compliance representation,… more
- MyFlorida (Tallahassee, FL)
- …institution, insurance company or other regulated entity, or in the registration of securities or securities dealers;or A master's degree from an accredited ... the Child Nutrition and Supplemental Food programs administered by the Division of Food, Nutrition and Wellness, through financial examinations. Coordinates sponsor… more
- Wells Fargo (Palm Beach, FL)
- …to deliver tailored lending solutions, optimize client outcomes, and ensure compliance with regulatory standards. The Lending Director provides expert guidance on ... Fargo is seeking a Lending Director within the Wealth and Investment Management division , supporting the National Sales organization. This role is ideal for a… 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 (Bal Harbour, FL)
- …with those of a retail broker/dealer and RIA supervising principal in the securities industry. The supervisory functions mainly focus on the review and acceptance of ... supervisory tasks delegated by Principal Managers including oversight of securities related activity of registered bank teammates **Required Qualifications:** 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
- MyFlorida (Tallahassee, FL)
- …Estimator Tool (https://compcalculator.myflorida.com/) OPEN COMPETITIVE EMPLOYMENT OPPORTUNITY DIVISION : OFFICE OF FINANCIAL REGULATION BUREAU: OFFICE OF ... banks, credit unions, trust companies, loan originators, mortgage lenders, securities dealers, investment advisors, consumer collection agencies and money… more
- Truist (Jupiter, 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