- 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; and/or Federal Deposit… more
- JPMorgan Chase (Tampa, FL)
- …will help deliver innovative solutions for a diverse client base in Securities Services. Be part of a global organization that values collaboration, excellence, ... Investment Bank. You will support both new and incremental client events for Securities Services, serving a wide range of clients including Asset Managers, Hedge… more
- Robert Half Legal (Miami, FL)
- …skilled Litigation Attorney to join our Florida team specializing in commercial and securities litigation. This role offers a unique opportunity to work on complex ... cases representing securities firms, financial advisors, and commercial businesses across multiple states (Active with Florida Bar Association required). The ideal… more
- JPMorgan Chase (Tampa, FL)
- …your expertise in project management and client solutions shapes the future of Securities Services. At JPMorgan Chase, you'll work with a diverse client base and ... You'll manage events of moderate complexity, covering a wide range of Securities Services products and working with stakeholders across Asset Managers, Hedge Funds,… more
- Citigroup (Tampa, FL)
- …to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Utilize industry and business ... strategy, redefining existing systems/flows + Identify and support implementation of securities processing improvements + Assist with identifying control gaps and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …accordance with Firm policies, industry standards, and federal and state securities laws. + Establishes and maintains registration-related record keeping systems. + ... in FINRA, state/jurisdiction and other SRO rules and regulations regarding securities and advisory registrations. + Operates standard office equipment and uses… more
- Fifth Third Bank, NA (Tampa, FL)
- …Support Specialist II provides office management support for registered securities representatives (eg, Investment Executives, or Wealth Management Advisors). ... products, compliance and operational duties. + Support multiple registered securities representatives or representatives with very large books of business.… more
- Insight Global (Boca Raton, FL)
- …Description We are seeking a part-time Paralegal with a strong focus on securities law filings. The ideal candidate will be highly organized, detail-oriented, and ... filings and related documentation. * Assist with compliance and reporting requirements under securities laws. * Maintain and update records in Carta and other equity… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- Under limited supervision, specialized knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training, ... and other KYC policies and procedures. + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of the… more
- Thrivent Financial (Tallahassee, FL)
- …client relations and planning activities. The person in this role supports securities and insurance-related tasks and other administrative tasks as assigned. In ... and engage Christians to make a real impact in your community. Position Requirements: * Securities registration required- SIE, Series 7 and 66 (or 7, 63 & 65) before… more