- Raymond James Financial, Inc. (St. Petersburg, FL)
- …training and/or certification in banking and financial services industry to ensure compliance with applicable banking rules and regulations. May be responsible for ... coordinating compliance functions, developing training programs and ability to liaison...regulatory agencies. + Principles of banking and finance and securities industry operations. + Financial markets and products. **Skill… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …paralegal profession. * Basic investment concepts, practices and procedures used in the securities industry. * Principles of banking and finance and securities ... industry operations. * Financial markets and products. **Skill in:** * Reviewing claims and preparing draft pleadings. * Gathering, organizing, summarizing and indexing legal and supporting documentation. * Preparing discovery requests and responses,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and/or specialized training in financial services industry information and records management compliance to support the firm's overall efforts to manage information ... compliance risk. This role is responsible for collaborating with...+ Perform other duties and responsibilities as assigned. + Securities licensing preferred **Knowledge, Skills, and Abilities** **Advanced Knowledge… more
- MUFG (Tampa, FL)
- …position is for Microsoft 365 Engineer with experience with Microsoft Purview Compliance . This role involves engineering and support for the organization. The ... work closely with various teams within the Technology organization to ensure compliance and security of all communication-related technologies. This role will also… more
- Citigroup (Tampa, FL)
- The Securities & Derivatives Sr Manager is a senior management level position responsible for accomplishing results through the management of a team or department in ... of this role is to ensure the seamless delivery of securities and derivatives transactions. **Responsibilities:** + Develop and implement business initiatives,… more
- TD Bank (Lake Mary, FL)
- …Mary, Florida, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $55,000 - $65,000 USD TD is committed to providing fair ... and/or control the trading, investment, and corporate banking functions of TD Securities . Within our core values, we champion a culture of diversity, inclusion… more
- Insight Global (Tampa, FL)
- …registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and investment advisory ... . Skills and Requirements -3 years of experience within compliance in a financial environment -Series 7 & 24 registrations… more
- JPMorgan Chase (Tampa, FL)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… more
- Fifth Third Bank, NA (Orlando, FL)
- …products, compliance and operational duties. + Support multiple registered securities representatives or representatives with very large books of business. + ... Support Specialist II provides office management support for registered securities representatives (eg, Investment Executives, or Wealth Management Advisors).… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …adequacy and business model. This role will also assist and partner with compliance partners to pre-vet compliance policy and compliance policy-related ... written supervisory procedures (WSPs) and desktop procedures in response to compliance policy updates, regulatory changes, control changes or otherwise. + Interfaces… more
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