- 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
- TD Bank (Fort Lauderdale, FL)
- …for in scope laws/regulations as they pertain to respective businesses and across legal entities + Supports the facilitation of the Compliance Risk Assessment and ... risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management businesses + Excellent written, verbal… 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
- KeyBank (Palm Beach Gardens, FL)
- …complex fiduciary accounts and assigned agency accounts. Analyzes and interprets legal instruments to determine duties and responsibilities of bank. Identifies and ... all internal policies and procedures, as well as, with regulatory and legal requirements. Mitigates risk on individual book of business. Assumes accountabilities for… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …regulations and driving proactive risk-based initiatives to protect the firm from legal , regulatory, and reputational risk. This role sits at the intersection of ... evolving requirements into internal controls and procedures + Collaborate with AML, Legal , Risk, and Business teams to embed sanctions awareness into enterprise… more
- MUFG (Tampa, FL)
- …and in place to ensure efficient and timely closing. + Reviewing legal loan documentation and ensuring it meets operational requirements where applicable for ... group involvement is a plus. + Ability to review legal loan documentation and ensure it meets operational/system requirements...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- First Horizon Bank (Orlando, 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
- Edward Jones (Valrico, 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Strong understanding of the principles of banking and finance and securities industry operations. + Advanced knowledge of financial markets and products. + ... analyze, interpret and apply information from regulations, policies, financial reports, and legal documents in order to identify and recommend changes. + Partner… more