- Guardian Life (Tallahassee, FL)
- …Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory, you will conduct branch office inspections using risk-based testing ... laws (inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated… more
- Arena Investors LP (Jacksonville, FL)
- …back-office personnel on a wide variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940; . Support the CCO ... of compliance policies and procedures; . Administration of firm ( Investment Adviser and Broker-Dealer) annual compliance review (testing and monitoring);… more
- Signature Aviation (Orlando, FL)
- …Procurement, Safety, Legal teams and Insurance partners to ensure alignment on investment decisions, compliance , and risk mitigation + Develop and maintain ... excellence. This role oversees the planning, design, permitting, construction, and compliance of aviation fuel facility projects while ensuring adherence to company… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Excel * Concepts, practices, and procedures of securities industry and/or banking compliance reviews. * Fundamental investment concepts, practices and procedures ... experience, specialized training and/or certification in securities or banking industry compliance to administer and manage an assigned compliance function.… more
- Aegon Asset Management (FL)
- …programs and subject matter expertise in plan management, including technical, compliance , administration, investment , and participant solutions. + Excellent ... of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what's important to them.… more
- Truist (Tampa, FL)
- …States of America) **Please review the following job description:** The Reserve Investment Manager 2 (IM) is responsible for partnering with Wealth Advisors to ... deliver Investment Management Services to new High Net Worth ($5+MM...portfolios. 8. Adhere to (and document) risk management and compliance with all relevant regulatory policies and procedures. QUALIFICATIONS… more
- Citigroup (Miami, FL)
- The Investment Counselor Principal is a strategic professional who closely follows latest trends in own field and adapts them for application within own job and the ... its ability to build relationships with, and service the investment needs of ultra-high net worth clients in the...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- Deloitte (Tampa, FL)
- …you a strategic thinker with first-hand knowledge of the private equity and investment management industries? Do phrases like "cross border investment advisory" ... and consulting" peak your interest? Do you enjoy providing tax consulting and compliance services to US and foreign clients while identifying and analyzing complex… more
- Deloitte (Tampa, FL)
- …you a strategic thinker with first-hand knowledge of the private equity and investment management industries? Do phrases like "cross border investment advisory" ... your interest? Do you enjoy providing tax consulting and compliance services to US and foreign clients while identifying...consider a career in Deloitte's International Private Equity and Investment Management practice. What You'll Do As a Tax… more
- Navy Federal Credit Union (Pensacola, FL)
- …and growth of NFIS products and services. Recommend appropriate mixture(s) of insurance/ investment products and services to achieve the financial client's goals as a ... registered representative/advisor/agent of Navy Federal Investment Services (NFIS) and subsidiaries, or incumbent financial firms. Manage smaller dollar volume… more