- MUFG (Tampa, FL)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- MUFG (Tampa, FL)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- Citigroup (Jacksonville, FL)
- …related to banking and /or investment operations - including placing unsolicited securities trades (Series 7 & 63 required). + Ensures customer claims and ... complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and other compliance norms are strictly adhered to. + Builds a rapport with clients; utilizes Salesforce regularly for communication of issues/tasks/opportunities. + Builds… more
- Citigroup (Fort Lauderdale, FL)
- …Analysis including cash flow statements + Collateral Evaluation covering Marketable Securities , Property and other asset classes + Preparing and negotiating credit ... documentation for facilities, including liaison with external counsel as required as well as undertaking the annual review of documentation + Preparing and reviewing facility covenants + Assisting in Portfolio Management, including CA Annual reviews, covenant… more
- Citigroup (Tampa, FL)
- …to operate with all levels of management within FX and Markets and Securities Services more broadly. **Development Value:** + Develop as a leader working with ... a dynamic and fast moving senior management team covering global and regional responsibilities. + Build a deep understanding of the infrastructure and controls that support the FX Sales business and the underlying products. + Become a change agent in areas… more
- Citigroup (Jacksonville, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... a brain and a soul, Citi creates economic value that is systemically responsible and in our clients' best interests. As a financial institution that touches every region of the world and every sector that shapes your daily life, our Enterprise Operations &… more
- Citigroup (Tampa, FL)
- …Deep experience of financial markets in at least one domain eg, Loans, Derivatives, Securities + Exposure to any of the following would be beneficial i) client ... regulatory outreach projects ii) LIBOR remediation iii) benchmarking iv) MIFID2 v) UMR. + Managing vendor staff, consultants as well as non-direct reports (influencing wider stakeholders to deliver to project goals) + Experience of client outreach and/or legal… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …supporting financial advisors who provide financial planning, investment advisory and securities transaction services to their clients. The ideal candidate is ... excited to work in a fast-paced environment with a variety of individuals including financial advisors, internal partner departments and senior leadership. This role calls for someone interested in the strategic growth of the firm specifically by recruiting… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Knowledge, Skills, and Abilities** **Knowledge of** + Advanced investment concepts and securities industry procedures. + Investment Company Act of 1940 and SEC ... regulatory environment. + Financial advisor business models and supervisory needs. **Skill in** + Strategic and analytical thinking to align regulatory, firm, advisor, and client needs. + Establishing KPIs and linking them to business outcomes. + Building and… more
- Citigroup (Tampa, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... a brain and a soul, Citi creates economic value that is systemically responsible and in our clients' best interests. As a financial institution that touches every region of the world and every sector that shapes your daily life, our Enterprise Operations &… more