- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and a minimum of three (3) years of experience in Supervision and/or the financial services industry. ~or~ * An equivalent combination of experience, education, ... operations * Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities … more
- Citigroup (Tampa, FL)
- …degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, ... The Correspondence & Issues Management Officer will be part of Citi's Regulatory Engagement Standards team within Citibank, NA and NAM, and report directly to the… more
- TECO Energy (Tampa, FL)
- …science, math, or related field + 5 years related experience in Commercial, Financial , or Business Planning, Regulatory or Engineering. + 3 years experience ... processes, and technology to provide quality and effective customer service and client satisfaction with services +...natural gas) customers and direct knowledge of Florida Public Service Commission regulatory processes. **Who Will be… more
- MUFG (Tampa, FL)
- …and auditors. **Business and Technical Knowledge:** + Broad view of the financial services industry. + Strong knowledge of corporate, investment banking ... (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association… more
- HCA Healthcare (Tampa, FL)
- …personnel to achieve operational and technical objectives including workflow design, service quality, financial performance, regulatory compliance, personnel ... long-term care coverage, moving assistance, pet insurance and more. + Free counseling services and resources for emotional, physical and financial wellbeing +… more
- MUFG (Tampa, FL)
- …Manager, you will lead and evolve our offensive security capabilities in a fast-paced financial services environment. In this role, you will design and execute ... readiness across the organization. Your expertise in real-world adversary tactics, financial services risk frameworks, and operational leadership will drive… more
- Citigroup (Tampa, FL)
- …15+ years of experience in Accounting, Finance, Business, or related field in the Financial Services industry is required + Experience in audit / governance, ... Data Governance, Manager's Control Assessment (MCA) transformation, Consent Order milestones, Financial & Regulatory Reporting controls, Operational Risk] + Lead… more
- Truist (Winter Park, FL)
- …4. Knowledge of the features and attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. ... FL. Responsible for the general servicing and support of the Financial Advisors. This includes administrative and operational support, business development… more
- PNC (Fort Lauderdale, FL)
- …ensuring audit controls are followed and the support and adherence to compliance and regulatory guidelines. Manages service and operational aspects of a Branch & ... Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …company regulations. + Fixed Income knowledge preferred. + Operations within the financial services industry. + Advanced investment concepts, practices and ... and Business Continuity Management. + Regulation knowledge particularly that of Financial Industry Regulatory Authority (FINRA), Municipal Securities Rulemaking… more