- Citigroup (Coral Springs, FL)
- The Financial Advisor is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their ... Responsible for providing a wide variety of financial and investment services to an Ultra high Net Worth client...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- Regions Bank (Naples, FL)
- …of the system. **Job Description:** At Regions, the Private Wealth Management Advisor develops and maintains a portfolio of client relationships within the defined ... book of business management and maintenance, and manages all elements of risk and compliance needs for the book of business, and utilizing all the tools are… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset ... and Responsibilities:** * Reviews requests for Outside Business Activities to ensure compliance with firm policy and regulatory rules. * Interfaces with specific… more
- JPMorgan Chase (Tampa, FL)
- …and 5+ years applied experience + Understanding of IT controls and compliance standards, particularly FFIEC. + Experience in conducting technical audits and risk ... metrics + Ability to manage multiple applications and provide guidance on compliance and remediation to software engineering team + Hands-on practical experience… more
- BMO Financial Group (West Palm Beach, FL)
- …+ Ensures alignment between stakeholders. + Bridges banking, trust and investment disciplines together for client communications when the full relationship exists. ... credibility and earn their trust. + Follows through on the risk and compliance processes and policies to ensure we safeguard our customers' assets, maintain their… more
- HUB International (Winter Park, FL)
- …array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. With over 17,000 employees ... day to day internal and external customer support providing compliance research, writing, and guidance to address client needs....suggest the client consult with legal counsel (or CPA/tax advisor ) upon reaching the limits of his/her ability to… more
- Wells Fargo (Palm Beach, FL)
- …management and investment sales environments, with a deep understanding of advisor business models, client needs, and full balance sheet strategies including ... this role:** Wells Fargo is seeking a **Market** **Growth Director** in Wealth and Investment Management as part of Wells Fargo Advisors. This role is part of the… more
- Deloitte (Jacksonville, FL)
- …you will draw on experience in accounting and taxation to provide tax compliance and consulting services to Investment Management clients. You will conduct ... funds-Are you a leader, passionate about financial products and understand regulated investment companies, Subchapter M, section 4982 excise calculations, and tax … more
- Deloitte (Miami, FL)
- …team and draw on experience in accounting and taxation to provide tax compliance and consulting services to Investment Management clients. You will identify ... Mutual funds-Are you passionate about financial products and understand regulated investment companies, Subchapter M, section 4982 excise calculations, and tax … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Job Summary:** Under very limited supervision, the Director of Alternative Investment Operational Due Diligence utilizes specialized knowledge and skills obtained ... work experience and formal training to develop and maintain an alternative investment operational due diligence program designed to provide high net worth clients… more