- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to review and analyze potential rule violations and ensure adherence to securities industry regulations, thereby limiting firm liability. Conduct internal reviews to ... ensure compliance with regulatory requirements and internal policies, including potential...+ Monitors and keeps up to date with applicable securities /advisory regulations. + Interprets, applies and recommends changes to… more
- 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
- Wells Fargo (Fort Lauderdale, FL)
- …and present analysis through meaningful statistics + Develop expertise in firm, compliance and regulatory policies and procedures + Collaborate and consult with ... + 2+ years of financial services industry experience + Experience in compliance or broker-dealer governance + Experience partnering with business, compliance … more
- 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
- Wells Fargo (Land O' Lakes, 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
- Citigroup (Tampa, FL)
- …focusing on a wide array of products including corporate, asset-backed securities , loans, derivatives, structured products and financings. In addition, SP provides ... defense function that manages the SP risk and control framework and monitors compliance with laws, regulations, and Citi policies and procedures. IBC also helps to… more
- Bank of America (Jacksonville, FL)
- …on high net worth lending products, services, and regulatory matters including securities based loans, unsecured loans, and custom loans involving various collateral ... occasionally to leadership + Interprets rules, laws, and regulations from a compliance and business control standpoint; ensures that proposed transactions are in … more
- Citigroup (Boca Raton, FL)
- …to clients based on client profiling and suitability assessments + Make securities recommendations and provide investment advice to clients through a select number ... 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
- 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
- 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