- Coinbase (Tallahassee, FL)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and any other applicable fraud-related regulatory or industry rules and guidance + Broker - dealer operations , transaction methods & financial products, and ... The Fraud Investigations Manager is responsible for leading a high-performing, production-based...+ Principles of banking and finance and securities industry operations **Skill in** + Team leadership, coaching, and performance… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …assigned. **Qualifications - External** **Knowledge, Skills, and Abilities:** **Knowledge of:** * Operations of broker dealers, hedge funds, private equity, and ... necessary to analyze investment structures, offering terms, trading and operations , along with legal and compliance programs. The Director...five to seven (5-7) years of experience at a broker / dealer , hedge fund, private equity firm, or… more
- Truist (Orlando, FL)
- …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... Supervisor will work closely with Truist Private Financial Advisors, CSAs, Regional Operations Managers and Complex Managers. The individual will be a member of… more
- JPMorgan Chase (Boca Raton, FL)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... set new standards in financial services. As the Business Development Support Manager within JP Morgan Wealth Management, you are responsible for executing strategic… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …products. + Advanced principles of banking, trust and finance and securities broker / dealer operations . + Wealth Planning offerings and partnerships, ... Private Wealth Advisor (CPWA) preferred. Other combination of designations and experience approved by the Wealth Planning management team and hiring manager . more