• Senior Attorney

    MyFlorida (Alachua, FL)
    …banks, credit unions, trust companies, loan originators, mortgage lenders, securities dealers, investment advisors, consumer collection agencies and money ... matters within the jurisdiction of the OFR or determines compliance with applicable state and federal laws as to...the OFR into alleged violations of the state banking, securities , and finance laws or related statutes and provides… more
    MyFlorida (05/24/25)
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  • Market Director

    Thrivent Financial (Fort Lauderdale, FL)
    …financial advisors are assigned to this position, this position will require securities registrations, state insurance licenses and appointments in all states where ... of authority or attained within 90 days. + State securities registered and insurance licensed and appointed in all...that are assigned. + Satisfactory background check and clean compliance record. + Flexibility to travel within the area… more
    Thrivent Financial (05/23/25)
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  • VP, Technology Risk Management

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …thinker with a deep understanding of technology, risk management, and regulatory compliance in financial services. The VP will work closely with cross-functional ... of responsibility. + Advanced investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and securities … more
    Raymond James Financial, Inc. (05/22/25)
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  • Reconciliation & Proofing Associate Analyst…

    Citigroup (Tampa, FL)
    …also be involved with special projects such as internal controls, compliance , standard operating procedure writing, software application requirement development and ... field or years equivalent to work experience * 3 years' experience in Securities industry or Financial experience * Demonstrated ability to take ownership of… more
    Citigroup (05/16/25)
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  • Lead Counsel 2 - Global Finance (Hybrid)

    Citigroup (Tampa, FL)
    …team. The role holder will be an attorney dedicated coverage supporting securities financing transactions in Rates Finance and Markets Treasury businesses in North ... advice on US related legal issues relevant to the securities financing business for the Rates and Markets Treasury...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
    Citigroup (05/13/25)
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  • Vice President, Advisor Transitions | St.

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …client group management to identify and implement solutions. + Monitors regulatory compliance with internal and external groups including auditors, FINRA, IRS, SEC, ... to act in a sponsorship role. + Principles of finance and securities industry operations. + Financial markets and products. + Performance management. **Skill… more
    Raymond James Financial, Inc. (05/13/25)
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  • JP Morgan Wealth Management - Private Client…

    JPMorgan Chase (Orlando, FL)
    …Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) + ... 2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and...Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor,… more
    JPMorgan Chase (05/09/25)
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  • Client Services Associate - B10

    Citigroup (Miami, FL)
    …managers performance and update monthly + Provide high level of support to Securities Specialists including but not limited to, client market updates, new account ... Private Banking Universe including Private Bankers, RO's, Investment Counselors, Securities Specialists and/or Wealth Team including Advisors, Relationship Managers,… more
    Citigroup (04/29/25)
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  • Assistant Vice President, ICM CCR Data Analyst

    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
    Citigroup (04/18/25)
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  • SVP, Chief Risk Officer - Private Client

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …essential risk context. . Reports risk-related data including risk exposure, compliance to risk policies, and effectiveness of current risk management strategies ... provide advice on such documentation negotiation from the credit perspective. . Securities /Private Client and Asset Management products and an understanding of the… more
    Raymond James Financial, Inc. (04/09/25)
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