- Raymond James Financial, Inc. (St. Petersburg, FL)
- …banking compliance. + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority (FINRA); state securities ... oversees compliance processes including scheduling, training, and review of compliance reporting . + May report compliance program status and activities to Compliance… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …obtained through education and to conduct comprehensive operational, compliance, and financial audits for Raymond James Internal Audit's Wealth Management Team. ... regulations. + Lead audit engagements from the planning stages to the reporting stages and produce quality deliverables that meet both department and professional… more
- Citigroup (Tampa, FL)
- …consumers, corporations, governments, and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and ... responsible and in our clients' best interests. As a financial institution that touches every region of the world...us. We'll enable growth and progress together. The Info Sec Prof Senior Analyst is an intermediate level position… more
- Ankura (FL)
- …degree in Accounting, with strong technical and research skills, and expertise in financial reporting , disclosure and ICFR awareness + Minimum 20+ years of ... Ankura Senior Managing Directors and clients with communications with the PCAOB, SEC , or other regulators on auditing, accounting, and independence matters. + You… more
- Guardian Life (Tallahassee, FL)
- …on other department projects and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations ... settings. + No restrictions on travel and extended periods away from home. ** Reporting Relationships** As our Compliance Analyst, you will report to the Compliance… more