- Raymond James Financial, Inc. (St. Petersburg, FL)
- …specialized training and/or certification in securities and/or banking industry to mitigate regulatory , litigation and reputation risk to the firm as it relates to ... addressing client grievances and regulatory inquiries. Works independently on difficult assignments that are...+ Contributes and leads discussions to determine the Firm's regulatory obligations regarding U4 amendments and settlement reporting. +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …for Outside Business Activities to ensure compliance with firm policy and regulatory rules. * Interfaces with specific business platform management associates to ... and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or… more
- Truist (Davie, FL)
- …professional and ethical standards set forth by Truist, the Financial Industry Regulatory Authority (FINRA), and other regulatory bodies. QUALIFICATIONS Required ... Qualifications: The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. 1. Bachelor's degree in… more
- General Dynamics Information Technology (Doral, FL)
- …and CSfC compliance, ensuring adherence to NSA, DoD, and other regulatory requirements. + Collaborate closely with cybersecurity teams, system administrators, and ... other stakeholders to integrate security best practices. + Mentor junior network administrators on CSfC principles and secure network operations. + Develop and implement CSfC network disaster recovery and business continuity plans for rapid incident recovery… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …stakeholders to ensure content remains current, relevant and aligned with regulatory expectations and company values. + Manages version control, documentation and ... communication of Code of Conduct updates across the organization. + Routinely interacts with senior leaders within Compliance, Risk, AML and across the firm. + May represent the Compliance department on cross-functional projects as they arise. + Prepares and… more
- BMO Financial Group (West Palm Beach, FL)
- …run function. + Protects the Bank's assets and complies with all regulatory , legal and ethical requirements. + Operates at a group/enterprise-wide level and ... serves as a specialist resource to senior leaders and stakeholders. + Applies expertise and thinks creatively to address unique or ambiguous situations and to find solutions to problems that can be complex and non-routine. + Implements changes in response to… more
- MyFlorida (Bartow, FL)
- …and production plans relative to best management practices and other licenses or regulatory requirements. Serves as an advisor to the applicants in order ... with disabilities are encouraged to apply. ADDITIONAL REQUIREMENTS: This position has regulatory responsibilities and is subject to the provisions of s. 112.313,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Analyst to develop forward-looking, predictive, and prescriptive analytics that fuel advisor engagement and business growth. This role will help uncover patterns ... and opportunities in advisor behavior, performance, and preferences-enabling smarter decision-making at scale....+ Ensure models are explainable, auditable, and aligned with regulatory and compliance standards. + Monitor and continuously improve… more
- Edward Jones (Valrico, FL)
- …visible members of the client team, working under the leadership of a financial advisor . You thrive in an inclusive team environment, are a continuous learner, have ... an impact to change lives. You and your financial advisor will complement each other to create capacity and...**Skills:** + Ability to learn and apply legal and regulatory requirements related to selling financial solutions + Work… more
- Wells Fargo (Sarasota, FL)
- …. **In this role you will:** + Assist Financial Advisor (s) colleagues with service and operational related activities such as ... via telephone, direct interaction and/or written correspondence + Facilitate Financial Advisor and client requests for account related information and/or quotes +… more