- MUFG (Tampa, FL)
- …and applicable laws; (10%) + Stay abreast of industry best practices and legal requirements and keep management informed of changes. (5%) Requires direct work ... 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
- Siemens Energy (Orlando, FL)
- …+ Fully responsible for all commercial andfinance-related matters, including Accounting, Legal , Tax, Foreign Exchange,and NCM topics. + Manage and optimize financial ... like SAP, OnePM, and eFMT, andmanage financial guarantees, bonds, and securities . + Support project management in risk assessment,non-conformance cost reduction,… more
- Citigroup (Tampa, FL)
- …stakeholders to remediate that risk. Support business stakeholders' compliance with legal and regulatory requirements such as the General Data Protection Regulation ... industry. 10 years of experience must include: Assessment of information securities systems, identification of gaps, and implementation and documentation of remedies… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …obtained through education, experience, specialized training and/or certification in the securities or banking industry to administer and manage an assigned AML ... and SARs, including associated risks and controls. + Governance, compliance, legal , internal and external auditing environments, practices and procedures for… more
- Edward Jones (St. Augustine, FL)
- …About Job Overview **Skills/Requirements** **Skills:** + Ability to learn and apply legal and regulatory requirements related to selling financial solutions + Work ... required; Bachelor's degree preferred + 3-5 years of relevant experience in securities /financial services industry preferred + Series 7 and Series 66 required; if… more
- Truist (Bal Harbour, FL)
- …asset allocation objectives and policies. 3. Keep abreast of changing economic, legal , financial planning, investment trends and general market and business issues ... and traditional retail bank products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu… more
- MUFG (Tampa, FL)
- …product developments and industry practice. Discuss and participate in Front Office/ Legal Department's discussion in closing of complicated Standby L/C deals. ... 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)
- …risks, regulatory requirements, and internal policies. + Collaborate with compliance, legal , and audit teams to ensure control frameworks support regulatory ... 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)
- …transaction is processed without proper authorization. + Monitor changes to any Compliance, Legal or Trade related programs such as OFAC, JMOF, BSA/AML, etc. and any ... 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
- Arena Investors LP (Jacksonville, FL)
- …debt, derivatives, structured financial products, contingent considerations and hybrid securities for financial reporting and transactions. + Review third-party ... economic research and analyses + Review and summarize financial, corporate, and legal agreements and other documents + Write narrative valuation reports and… more