- Chewy (Plantation, FL)
- …from you! Come run with the Pack! **What You'll Do:** + Provide advice on compliance with securities laws and NYSE rules and regulations + Support the ... Florida, respectively + At least 5+ years relevant SEC reporting and securities law compliance experience; at least 3+ years law firm experience + Deep knowledge… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance . + Rules and regulations of: ... education, experience, specialized training and/or certification to serve as the compliance partner for the Global Wealth Solutions ("GWS") business line,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance . + Rules and regulations of: ... assess privacy-related risk with business partners to identify and address privacy-related compliance gaps or areas of privacy risk in support of business… more
- Robert Half Legal (Fort Lauderdale, FL)
- …* Provide legal expertise for corporate finance matters, including advising on securities and compliance issues. * Assist with the preparation and ... role, you will handle a variety of legal matters, including corporate finance, securities , and mergers and acquisitions. This is an excellent opportunity to work on… 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 ... skills obtained through experience, specialized training and/or certification in securities and/or banking industry to mitigate regulatory, litigation and reputation… 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 detect trends and possible rules violations to ensure adherence to securities industry regulations and firm expectations to limit firm liability. Responsible for… 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 ... trading patterns and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Works independently on difficult… 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 + Offer advanced solutions for assigned securities … 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 ... trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Some guidance is provided to… more
- Citigroup (Tampa, FL)
- …facilitate the clearance, settlement, and investigation of client securities transactions while simultaneously providing excellent client service. ... lines of businesses, inclusive of cash and trade management, derivatives & collateral, securities lending and bank/term loans + Act as a liaison between Client Teams… more