- Raymond James Financial, Inc. (St. Petersburg, FL)
- …with both internal clients and functional area representatives including legal , compliance, supervision, operations, and AML. **Essential Duties and ... Responsibilities:** + Working with RJ Legal , origination, investment research, and operational due diligence teams...and regulations. + Principles of banking and finance and securities industry operations Skill in: + Conducting negotiations with… more
- Citigroup (Miami, FL)
- …profitability and compliance with evolving internal policies and external legal and regulatory frameworks. **Responsibilities:** + Responsible for identifying short- ... both a team and individual creative setting. + US Only: Securities Industry Exam, S7 & S66; NOTE: Securities Industry Exam (SIE is a prerequisite to the S7)… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …as liaison between retirement plans department and financial advisors, Raymond James Legal and Compliance departments and associates to resolve escalated problems as ... financial planning and investment concepts, practices and procedures used in the securities industry + Investment concepts, practices and procedures used in the … 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 ... countries and concepts of the work area. + Ability to analyze and understand legal documents. + This position requires the use of multiples systems at the same… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …analyze investment structures, offering terms, trading and operations, along with legal and compliance programs. The Director retains latitude for unreviewed ... audit * Complex investment concepts, practices and procedures used in the securities industry * Financial markets and complex products * Quantitative and qualitative… more
- Fox Rothschild LLP (West Palm Beach, FL)
- …member of the Knowledge Management Department, the KM Research Analyst conducts sophisticated legal and non- legal research to respond to firm-wide reference and ... + Monitors workflow; responds and completes department requests. + Provides comprehensive legal and business research using a variety of on-line and print resources,… more
- RELX INC (Boca Raton, FL)
- …MLS, JD or other advanced degree preferred + Industry knowledge of Securities disclosure and regulation highly favored + Experience performing simple and complex ... and to volunteer with your charity of choice About the business LexisNexis Legal & Professional(R) provides legal , regulatory, and business information and… more
- Citigroup (Tampa, FL)
- …and lead cross functional teams including Product Management, Client Facilitation, Legal , Credit Risk Management, Compliance, Operations and Technology. This role ... of the business. + Collaborate closely with Middle Office, Operations, Risk, Legal , Compliance, and Technology teams to ensure the smooth functioning of the… more
- NextEra Energy (Juno Beach, FL)
- …Compliance and Corporate Secretary with a concentration on corporate governance and securities law. This role will also support our Compliance & Responsibility ... back up support to the office of the Executive Vice President and Chief Legal Officer. The Executive Assistant will be responsible for planning, executing and active… more
- NextEra Energy (Juno Beach, FL)
- …tax equity partnerships and other joint ventures, tax credit transfer deals, and securities offerings. This role will also involve reviewing and commenting on tax ... and sale agreements and LLC/partnership agreements. + Research and drafting of legal memoranda or opinions analyzing federal income tax law issues. + Serving… more