- Citigroup (Tampa, FL)
- Citi Agency Lending is part of the overall Securities Services Business unit. The ASL Business facilitates the temporary transfer of securities from a lender to ... a borrower against collateral ( securities or cash), enabling beneficial owners to generate incremental income on their portfolio securities . The services… more
- Carnival Cruise Line (Miami, FL)
- **Essential Functions:** + To provide high quality, experienced legal advice on securities laws, corporate governance and financing matters. + Assist with corporate ... diligence and entity management. + Keep management informed of changes in securities laws and regulations. **Qualifications:** + A Juris Doctor (JD) from accredited… more
- Xerox (Tallahassee, FL)
- Senior Corporate Counsel - Governance and Securities **General Information** Press space or enter keys to toggle section visibility Country United States Department ... Assist in supporting the Corporate Secretary function, including with respect to securities law filings, corporate governance and Board and Committee meetings, in… more
- Guardian Life (Tallahassee, FL)
- …collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will conduct branch office ... inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk-based plan for the branch office… more
- Northrop Grumman (Orlando, FL)
- …At Northrop Grumman, our employees have incredible opportunities to work on revolutionary systems that impact people's lives around the world today, and for ... generations to come. Our pioneering and inventive spirit has enabled us to be at the forefront of many technological advancements in our nation's history - from the first flight across the Atlantic Ocean, to stealth bombers, to landing on the moon. We look for… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to assist in administering and ... and Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance. + Rules and regulations of: … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Skills, and Abilities** **Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of ... the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Data privacy laws and regulations. + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of the ... Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of ... the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies. + Fundamental investment… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Compliance team, you will serve as a subject matter expert on securities industry regulations and firm policies, ensuring adherence while enabling business growth. ... and Abilities** **Advanced Knowledge of:** + Concepts, practices and procedures of securities industry compliance. + Rules and regulations of the Securities … more