• Manager, Supervision- Conflict of Interest/Outside…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …on Outside Business Activities by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations. + Lead, allocate, and mentor ... FINRA Rule 3270 & 3280 (OBA & (PST) Private Securities Transactions). + Serves as a point of approval/review...senior members of Supervision as well as Legal & Compliance and other partners to guide decisions that mitigate… more
    Raymond James Financial, Inc. (04/17/25)
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  • Associate Private Client Financial Advisor

    Wells Fargo (Ponte Vedra Beach, FL)
    …experience, training, military experience, education + Successfully completed Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** ... will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition… more
    Wells Fargo (05/30/25)
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  • Advisor, Supervision- Packaged Products

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …reviews to detect trends, and trading patterns to ensure adherence to securities industry regulations and limit firm liability. An Advisor for the Packaged ... Products team would be expected to analyze various compliance and suitability reviews to detect trends of post-trading patterns, and possible rules violations to… more
    Raymond James Financial, Inc. (05/14/25)
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  • GenAI Solutions Architect - Assoc Dir / Dir

    S&P Global (FL)
    …to track model performance, data quality, and infrastructure. + Security and Compliance : Implement security measures and compliance standards to protect ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
    S&P Global (03/20/25)
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  • Senior Lead III, Security Architect

    S&P Global (FL)
    …data security risks. + Develop and enforce data security policies for compliance with industry standards. + Review access management controls for security gaps. ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
    S&P Global (04/19/25)
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  • Associate Director of Generative AI Platform…

    S&P Global (FL)
    …technical milestones align with business requirements. + Implement security measures and compliance standards of the platform and APIs to ensure adherence to ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
    S&P Global (03/17/25)
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  • Associate Director of Data Science - RAG, NLP, LLM…

    S&P Global (FL)
    …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
    S&P Global (05/27/25)
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  • GenAI ML/MLOps Engineering Lead

    S&P Global (FL)
    …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
    S&P Global (05/13/25)
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  • Supervisor, Operations Retirement Plan Services

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …between retirement plans department and financial advisors, Raymond James Legal and Compliance departments and associates to resolve escalated problems as needed + ... financial planning and investment concepts, practices and procedures used in the securities industry + Investment concepts, practices and procedures used in the … more
    Raymond James Financial, Inc. (05/06/25)
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  • Senior Financial Planning Consultant - Miami

    Raymond James Financial, Inc. (Coral Gables, FL)
    …and occasional personal visits. * Educates client on the functions of various securities markets and the principal factors that affect them. * Provides guidance on ... of transactions. * Ensures firm and regulatory policies are followed within compliance standards * Perform other duties and responsibilities as assigned. Skills *… more
    Raymond James Financial, Inc. (03/20/25)
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