- RELX INC (Boca Raton, FL)
- Do you have your JD? Do you have Securities and Antitrust Experience? About our Team Lex Machina fundamentally changes how companies and law firms compete in the ... contribute domain expertise as a Legal Data Expert - Securities and Antitrust at a cutting-edge legal technology company....legal experts + Become an authority on Lex Machina's Securities and Antitrust data + Adopt responsibilities for data… more
- Citigroup (Tampa, FL)
- The Securities & Derivatives Lead Analyst is a senior level position responsible for processing orders and transactions originating from trading desks and branch ... to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Identify project resources,… 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
- Citigroup (Tampa, FL)
- …**Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives Processing **Time Type:** Full time **Primary Location:** ... Tampa Florida United States **Primary Location Full Time Salary Range:** $49,010.00 - $68,390.00 In addition to salary, Citi's offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers… more
- Citigroup (Tampa, FL)
- …to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Resolve complex process problems ... which require an in-depth evaluation of basic securities processing procedures and industry standards + Process various...net asset value, reconciling cash and holdings, and pricing securities + Offer advanced solutions for assigned securities… 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
- Citigroup (Tampa, FL)
- …to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Utilize basic industry and ... used to present information to management + Support implementation of securities processing improvements + Assist with identifying policy gaps and formulating… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Knowledge of:** + Concepts, practices and procedures of investment advisory, securities industry and/or banking compliance reviews. + Rules and regulations of ... the Investment Advisers Act of 1940 (IA40); Securities Exchange Commission (SEC); state; DOL/ERISA; IRC; and banking regulatory agencies. + Fundamental investment… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …skills obtained through experience, specialized training and/or certification in securities and/or banking industry to mitigate regulatory, litigation and reputation ... and settlement reporting. + Monitors and keeps up to date with securities /advisory regulations and applies them accordingly. + Interprets, applies and recommends… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …trading patterns and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Works independently on difficult ... conflicts. * Monitors and keeps up to date with applicable securities /advisory regulations. * Interprets, applies and recommends changes to organizational policies… more