• Senior Analyst, Business Risk & Controls Office

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …ensure a cohesive approach. + Performs data collection and analysis in compliance with program requirements to assist in identifying, analyzing and recommending ... + Fundamental concepts of investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and securities … more
    Raymond James Financial, Inc. (05/17/25)
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  • Analyst, Fixed Income Research

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …of research. + Fundamental investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and securities ... + Remain cognizant of our commitment to regulatory and compliance requirements. **Educational/Previous Experience Requirements** + Ideal candidate will have… more
    Raymond James Financial, Inc. (05/08/25)
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  • Senior Manager, Business Controls - Corporate…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …skills obtained through education, experience and/or certification in banking industry regulatory compliance to ensure first line compliance with banking rules ... and regulations within Corporate Banking. Manages Corporate Banking compliance functions/programs to ensure compliance processes and procedures are integrated… more
    Raymond James Financial, Inc. (05/30/25)
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  • AVP, Customer Service Sr Analyst

    Citigroup (Miami, FL)
    …service and problem resolution + Ensure adherence to all internal policies and compliance to legal and regulatory requirements + Process all client transactions and ... credit and investment products. Ensure transactions are completed within audit and compliance standards as well as timely execution. + Be attentive and diligent… more
    Citigroup (05/16/25)
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  • Paralegal

    The Hertz Corporation (Estero, FL)
    …legal setting under the guidance of attorneys, which includes supporting Securities and Exchange Commission ("SEC") filings and public company compliance ... for the corporate team's three critical pillars: (1) public company compliance , (2) corporate governance, and (3) transactional support for financing transactions.… more
    The Hertz Corporation (05/16/25)
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  • Registered Client Associate

    Wells Fargo (Sarasota, FL)
    …appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In ... acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. + Specific … more
    Wells Fargo (05/30/25)
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  • Asset & Wealth Management - Vice President…

    JPMorgan Chase (Tampa, FL)
    …and act as a liaison for issue resolution. Review and resolve compliance surveillance inquiries + Provide principal approval for brokerage trade corrections. Review ... options, margin, QIB) + Perform oversight of incoming correspondence, checks, and securities . Review trends and patterns of escalated email violations. + Provide… more
    JPMorgan Chase (05/31/25)
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  • Capital Markets Operations Analyst II

    Navy Federal Credit Union (Pensacola, FL)
    …by ensuring proper accounting and documentation of associated transactions in compliance with federal regulations, and internal policies and procedures. Implements ... related to capital markets transactions, includes ensuring successful settlement of securities and/or cash with external counterparties + Ensure safety, soundness,… more
    Navy Federal Credit Union (05/31/25)
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  • Wealth Solutions Advisor

    Citigroup (Jacksonville, FL)
    …customer relationships by maximizing sales and service opportunities. + Make securities recommendations and provide investment advice to clients through a select ... Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that KYC/AML and other...goal-oriented team player able to work without direction + Securities Industry Essentials - SIE - Active Series 7,… more
    Citigroup (05/09/25)
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  • Sr. Advisor, Supervision- Money Movement

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …to detect trends and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. This associate will be responsible ... accordingly. + May participate in the formation of policies related to compliance . + Performs other duties and responsibilities as assigned **Knowledge, Skills, and… more
    Raymond James Financial, Inc. (04/29/25)
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