- 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 ... immediate responsibilities and your long-term goals. About the business LexisNexis Legal & Professional(R) provides legal , regulatory, and business information… more
- MUFG (Tampa, FL)
- …Debt Capital Markets, Portfolio/Relationship Management, Loan and Agency Services, Finance, Legal and Trade Services. + **Enterprise Services: Internal Control Unit ... that aligns with business practices, and conforms to all legal , regulatory and company standards. Acting as a Governance...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …firm-to-client communications and internal change management campaigns, partnering with legal , compliance, technology, operations and other key business areas to ... and related content + Investment concepts, practices and procedures used in the securities industry + Financial markets and products + Microsoft Outlook suite +… more
- First Horizon Bank (Tampa, FL)
- …efforts of the team. + Stays updated and abreast of changing economic, legal , financial planning, investment trends and general market and business issues impacting ... resource for clients, their attorneys and CPAs. + Maintain appropriate legal , operating and regulatory controls to manage risk and compliance. Works… more
- Guardian Life (Tallahassee, FL)
- …drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities ) to drive revenue through PAS's multifaceted product platform. + Educate producers, ... to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… more
- Truist (Jupiter, FL)
- …efforts of the team * Stays updated and abreast of changing economic, legal , financial planning, investment trends and general market and business issues impacting ... resource for clients, their attorneys and CPAs. * Maintain appropriate legal , operating and regulatory controls to manage risk and compliance. Works… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …comprehensive recommendations for the financial advisor, the client and the client's legal and tax professionals (eg attorney or CPA). + Leverages planning software ... products. + Advanced principles of banking, trust and finance and securities broker/dealer operations. + Wealth Planning offerings and partnerships, including… more
- MUFG (Tampa, FL)
- …to FINRA, SEC, and GDPR standards. + Work closely with cybersecurity and legal teams to ensure data protection and auditability. Model Operations + Fine-tune LLMs ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- MUFG (Tampa, FL)
- …compliance reporting. Stakeholder Collaboration + Partner with information security, compliance, legal , and risk teams to ensure platform solutions address emerging ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- Santander US (Miami, FL)
- …Financial industry with in-depth expertise in various lines of business, securities , escrow, derivatives, loans, EMIR, Dodd Frank, MiFID. Advanced Microsoft Office ... to read, analyze and interpret government regulations, trade journals and legal documents. Ability to effectively and clearly communicate instructions to others,… more