- Citigroup (Tampa, FL)
- …in accordance with Regulation U and Regulation T. + Experience in Wealth securities backed finance lending. **Education:** + Bachelor's degree; experience in ... as a senior compliance and operational risk manager for Global Wealth Securities Backed Lending (SBL) Independent Compliance Risk Management (ICRM) and Global Wealth… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Information technology support and technical documentation. + Principles of banking and finance and securities industry operations. + Business planning and ... Corporate Office location. **Job Summary:** We are seeking a seasoned Finance Technology Professional with Finance ERP and EPM as well as exposure to large… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …regulatory agencies. + Fundamental investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and ... high level of autonomy, uses advanced knowledge and skills in securities industry regulations obtained through education, experience, specialized training and/or… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …regulatory agencies. * Fundamental investment concepts, practices and procedures used in the securities industry. * Principles of finance and securities ... 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)
- …issues involved with institutional and fiduciary activity * Principles of banking, finance , and securities industry operations * Rules and regulations of ... to ensure fulfillment of contractual obligations; and to adhere to securities industry regulations and core fiduciary principles. Works independently on difficult… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and other compliance issues involved with retail activity. * Principles of banking, finance , and securities industry operations * Rules and regulations of the ... concerns. * Monitors and keeps up to date with securities /advisory regulations and applies them accordingly. * Interprets, applies... Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA);… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …other compliance issues involved with retail activity. * Principles of banking, finance , and securities industry operations **Skill in:** * Operating standard ... any disputes that may arise. * Monitors and keeps up-to-date with securities /advisory regulations and applies them accordingly. * Interprets, applies and recommends… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and services. + Advanced investment concepts, practices and procedures used in the securities industry. + Principles of banking, finance , securities industry ... **Work Experience** General Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Fundamental concepts of investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and securities ... No SIE not required **Education** Bachelor's: Accounting, Bachelor's: Economics, Bachelor's: Finance **Work Experience** General Experience - 3 to 6 years… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …mitigation strategy concepts. + Investment concepts, practices, and procedures used in the securities industry. + Principles of banking and finance and ... Time SIE not required **Education** Bachelor's: Accounting, Bachelor's: Economics, Bachelor's: Finance **Work Experience** Manager Experience - 13 months to 3 years… more