- 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
- Bank of America (Jacksonville, FL)
- …Description:** This job is responsible for providing operational support for securities , loans, exchange traded derivatives and over the counter derivatives across ... degree of accuracy with customers and data to ensure compliance with regulations and policies. **LOB Job Description:** This...supports US Listed Option product for Bank of America Securities LLC and Merrill Lynch Pierce Fenner & Smith… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …structures, offering terms, trading and operations, along with legal and compliance programs. The Senior Associate retains latitude for unreviewed decision making ... the firms' control environments. * Analyze asset managers' adherence to internal compliance policies and regulatory requirements. * Create and execute an annual… more
- Citigroup (Tampa, FL)
- …will also be involved with special projects such as internal controls, compliance , standard operating process step writing, and business requirement documents. **Key ... reporting to seniors * Perform MCA testing for monthly internal compliance requirements * Comply with Citi policies **Requisition Qualifications:** * Bachelor's… more
- Citigroup (Tampa, FL)
- …in, and at times leading, key projects critical to the operation and compliance /risk management of the business + Extensive interaction with global product teams and ... business/control function areas at all levels of management including Compliance , Legal, Risk, Operations, Business Controls, Supervision, and Technology **Knowledge… more
- Truist (Orlando, FL)
- …releases, conservation and regular easements including collateral types of Securities , Real Estate (1-4 Family and Commercial), Marine, Auto, Boat/Motor/Trailer, ... management products, policies and processes. 6. Maintain a knowledge of compliance , legal and documentation requirements, including those specific to state laws.… more
- Citigroup (Tampa, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and potential clients, and outside counsel, as well as senior leadership, legal, compliance , financial, risk and human resources staff. + Assists in maintaining and ... areas. * Advanced investment concepts, practices and procedures used in the securities industry. * Advanced principles of banking and finance and securities… more
- Citigroup (Tampa, FL)
- …the Team to facilitate the clearance, settlement and investigation of client securities and derivatives transactions.** **Facts** : + Issuer Services Ops Tampa Hub ... analyze larger outgoing wire requests to determine if they are in strict compliance with policies and procedures and ensure all required protocols have been followed… more
- Citigroup (Tampa, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more