- Citigroup (Tampa, FL)
- …a senior compliance and operational risk manager for Global Wealth Securities Backed Lending (SBL) Independent Compliance Risk Management (ICRM) and Global ... for Global Wealth Deposits and Lending businesses. **Responsibilities:** + Provide compliance product coverage to Global Wealth SBL business. Provide compliance… more
- Lumen (Tallahassee, FL)
- …assist with Annual Shareholder Meeting. + Maintain policies and procedures relating to securities law compliance and disclosure matters. + Advise and assist ... function to play in supporting the SVP in managing Lumen's Governance and Securities . The ideal candidate will be responsible for ensuring regulatory compliance … more
- Guardian Life (Tallahassee, FL)
- …to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Skills, and Abilities** **Knowledge of:** + Concepts, practices, and procedures of securities industry compliance reviews. + Rules and regulations of the ... certification to ensure the tactical and strategic success of the firm's PCG Compliance program. Responsibilities include but are not limited to providing advice and… 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 ... skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to assist in administering… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …with business objectives, ensuring operational excellence. **Advanced Knowledge of:** + Securities industry compliance practices, concepts, and procedures. + ... a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation,...to SEC, FINRA, FRB Bank Holding Company, and state securities regulations. + Engage with senior business leaders, providing… 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 administer and manage ... skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and manage… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …through experience, specialized training, and/or certification in project management, information compliance risk management, and the securities and/or banking ... through experience, specialized training, and/or certification in project management, information compliance risk management, and the securities and/or banking… 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 ... apply securities and/or banking regulations and identify and recommend compliance changes as appropriate. + Work under pressure on multiple tasks concurrently… more
- USAA (Tampa, FL)
- …a securities principal as appropriate: In conjunction and coordination with Securities Counsel and Securities Compliance , provides research and ... to maximize effectiveness of member acquisition and relationship efforts. Maintains compliance with policies, procedures, and regulatory requirements We offer a… more