- Arena Investors LP (Jacksonville, FL)
- …at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker - dealer compliance (ideally Series 7 or Series 14 ... compliance policies and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing and monitoring); .… more
- TD Bank (Fort Lauderdale, FL)
- …is outlined in the general summary below.** **Job Profile Summary:** The Compliance Governance & Operations Manager leads the development and implementation ... risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent written, verbal… more
- Charles Schwab (Orlando, FL)
- …employee compliance communications, and governs the development and maintenance of compliance policies and standards. As a Senior Manager , you will lead ... (Word, PowerPoint, Excel, SharePoint). + Policy writing experience within a broker - dealer , registered investment adviser, or banking institution. **What's in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …procedures of the financial services industry. + Bank holding company and retail broker dealer clearing firm operations. **Skill in:** + Experience drafting ... of the Raymond James business model. + Plays a role in the compliance reporting processes, including exception reporting, and approves corrective actions. + Works… more
- USAA (Tampa, FL)
- …in annuity and/or life insurance distribution through full-service brokerage and bank broker dealer firms. + Excellent relationship management skills and ... level of business acumen in the areas of annuity business operations, broker dealer sales processes and paperwork, sales suitability, industry practices… more
- Guardian Life (Tallahassee, FL)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- Deloitte (Miami, FL)
- …a financial services organization (preferably a bank, capital markets organization or broker - dealer ), regulatory agency, or consulting firm with a clear record ... Senior Manager - FSI Risk, Regulatory & Forensic Our...risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …including relevant regulations (eg FINRA, SEC), especially those associated with broker - dealer and registered investment advisor business models. + Planning, ... and skills obtained through education and to conduct comprehensive operational, compliance , and financial audits for Raymond James Internal Audit's Wealth Management… more
- Citigroup (Miami, FL)
- …supervisory issues escalated + Review and approval of designated bank-channel and broker - dealer investments + Manage surveillance alerts within stated policy ... 24 and 31. Series 9/10 also preferred + Knowledge of Bank and Broker - Dealer businesses, regulatory requirements and related policy + Knowledge of Investment… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …or finance and a minimum of five to seven (5-7) years of experience at a broker / dealer , hedge fund, private equity firm, or similar in a related role ~or~ * ... structures, offering terms, trading and operations, along with legal and compliance programs. The Director retains latitude for unreviewed decision making and… more