- 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …knowledge and skills obtained through experience, specialized training and/or certification in securities compliance to ensure compliance with all ... and Abilities** **Knowledge of:** + Concepts, practices, and procedures of securities industry compliance reviews. + Rules and regulations of the 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 administer and manage ... AWS Redshift, SQL, Oracle, Excel * Concepts, practices, and procedures of securities industry and/or banking compliance reviews. * Fundamental investment… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …general handling of client complaints. * Concepts, practices and procedures of securities industry and/or banking compliance ; including Reg BI standards and ... trends, risk patterns and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Leads major projects, programs… more
- Citigroup (Tampa, FL)
- The Securities & Derivatives Senior Analyst is an intermediate level position responsible for processing orders and transactions originating from trading desks and ... to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Resolve complex process problems… more
- Citigroup (Tampa, FL)
- The Securities & Derivates Intermediate Analyst is an entry level position responsible for processing orders and transactions originating from trading desks and ... to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Utilize basic industry and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …office practices, procedures, and methods. * Concepts, practices and procedures of securities industry and/or banking compliance , including suitability and other ... social media communication reviews and content to detect concerns and ensure compliance with regulatory expectations and firm policies and procedures. Social Media… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …office practices, procedures, and methods. * Concepts, practices and procedures of securities industry and/or banking compliance , including suitability and other ... to Regional Management and Registrations through firm systems. * Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and platform… more
- Citigroup (Tampa, FL)
- The Securities & Derivatives Group Manager is a senior management level position responsible for accomplishing results through the management of a team or department ... objective of this role is to ensure the seamless delivery of securities and derivatives transactions. **Responsibilities:** + Manage a complex critical large… more
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