- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Essential Duties and Responsibilities** + Oversees compliance exception reporting processes and approves corrective actions. + May coach, train, and mentor others ... Compliance associates. + May assist with the development and...+ Rules and regulations of: Securities Exchange Commission (SEC), Investment Advisers Act of 1940 and SEC regulatory environment;… more
- Truist (Fort Lauderdale, FL)
- … with Truist, and relevant regulatory policies and procedures. + Work with Investment Managers and compliance to monitor client portfolios relative to their ... of America) **Please review the following job description:** The Investment Analyst (IA) is responsible for working with ...Investment Analyst (IA) is responsible for working with Investment Managers and the Investment Advisory Group… more
- Lincoln Financial (Tallahassee, FL)
- …on mortgage loans and limited partnerships for existing and developing investment strategies for compliance with accounting/reporting regulations to appropriate ... opportunity. **Requisition #:** 74763 **The Role at a Glance** The Analyst, Investment Accounting Operations will provide timely and accurate more complex … more
- 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …emerging risks, regulatory changes, supplier, and product risk assessments. + Provide compliance support on various investment advisory areas of coverage, not ... Skills, and Abilities** **Knowledge of:** + Concepts, practices and procedures of investment advisory, securities industry and/or banking compliance reviews. +… more
- M&T Bank (Naples, FL)
- …/operational risk controls following Company or regulatory standards and policies. Complete investment -related compliance reviews and any other compliance ... Advisor with operational support, inclusive of reporting that supports planning and investment needs to ensure client satisfaction. + Leverage available internal and… more
- TD Bank (Fort Lauderdale, FL)
- … Department, the Compliance Business Oversight Manager will:** + **Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and ... can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank… 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
- 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
- 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
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