- Citigroup (Tampa, FL)
- …Security Agency Trading business through the negotiation of the Master Securities Forward Transaction Agreement. Applicants should have experience in GSE Agency ... securities transactions and the negotiation of Master ...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- Raymond James Financial, Inc. (FL)
- …Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and ... and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage… more
- Chewy (Plantation, FL)
- **Our Opportunity:** Chewy is seeking a Corporate Governance & Securities Paralegal to join our Legal Department in Plantation, Florida! This role will support ... Chewy's public company compliance , corporate governance, legal entity management, equity administration functions,...critical role in maintaining Chewy's high standards of corporate compliance and governance. You will be expected to take… more
- Citigroup (Tampa, FL)
- …range of internal stakeholders including Front Office Sales and Trading Desks, Compliance , Legal, Finance and HR; alongside having significant interaction with our ... **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives Processing **Time Type:** Full time **Primary Location:**… more
- Citigroup (Tampa, FL)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives Processing **Time Type:** Full time **Primary Location:**… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …procedures, and methods. + Investment concepts, practices and procedures used in the securities industry. + Suitability and other compliance issues involved with ... high level of autonomy, uses advanced knowledge and skills in securities industry regulations obtained through education, experience, specialized training and/or… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …office practices, procedures, and methods * Concepts, practices and procedures of securities industry, including suitability and other compliance issues involved ... to ensure fulfillment of contractual obligations; and to adhere to securities industry regulations and core fiduciary principles. Works independently on difficult… more
- Univision Communications, Inc (Miami, FL)
- …Oversee legal aspects of subsidiary governance, including entity management, regulatory compliance , and reporting. + Securities & Public Disclosures: Advise ... M&A, refinancing, and procurement. The successful candidate will ensure compliance with regulatory requirements, manage complex transactions, and provide expert… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Experience Requirements:** + Bachelor's degree (BA) in a related discipline in retail securities sales, sales management, operations, or compliance . ~or~ + Any ... thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. + Detail orientation to ensure the regulatory liability is… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in data analytics, visualization, and reporting frameworks. + Data governance, compliance , and relevant securities and insurance industry regulations. **Skill ... in:** + Advanced SQL query writing and analysis across relational databases and cloud platforms. + Using CRM SaaS solutions (MS 365 Dynamics, etc.) to support BI initiatives. + Leveraging BI/reporting platforms such as Qlik Sense, with a readiness to obtain… more