- Grant Thornton (Tampa, FL)
- …bodies, including the American Institute of Certified Public Accountants, Securities Exchange Commission, Public Company Accounting Oversight Board, International ... or other GT groups within our firm (eg, Private Equity, other quality groups, legal , etc.) and to also be able to work independently. The individual must manage… 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)
- …levels, including Private Client Banking, Raymond James Bank, technology, legal , compliance, supervision and Raymond James Private Client GroupWord processing, ... **Work Experience** Manager Experience - 10 to 15 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority… more
- Lincoln Financial (Tallahassee, FL)
- …activities required by generally accepted accounting principles (GAAP) and the Securities and Exchange Commission (SEC). **What you'll be doing** What you'll ... employees, representatives and/or insurance agents do not provide tax, accounting or legal advice. Lincoln is committed to creating a diverse and inclusive… more
- Raymond James Financial, Inc. (West Palm Beach, FL)
- …financial markets, banking, and analysis and reporting of financial data. + Legal requirements and federal and state regulations related to employment. **Skill in** ... **Work Experience** General Experience - 6 to 10 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority… more
- MUFG (Tampa, FL)
- …Partners + Python analysis + SSIS + Knowledge of relevant laws, legal codes, government regulations, agency rules, and current industry practices + Familiarity ... 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
- Citigroup (Tampa, FL)
- …obligations are met and sustainable going forward - across all impacted Legal Entities, Business lines and regional regulators. The ideal candidate must have ... working with large data sets. + Business knowledge of capital markets products, securities and price reference data. + Strong database design and modeling knowledge,… more
- MUFG (Tampa, FL)
- …highly advantageous. + Thorough knowledge of applicable regulatory and legal compliance obligations, rules, regulations, industry standards, practices, and ... 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …others. + Perform other duties and responsibilities as assigned. + Securities licensing preferred **Knowledge, Skills, and Abilities** **Advanced Knowledge of:** + ... with a Master's degree preferred. Minimum of ten (10) years of Compliance, Legal , Banking and/or regulatory experience in the financial services industry. + Minimum… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …support and technical documentation. + Principles of banking and finance and securities industry operations. + Business planning and analysis. + Project budget ... interpret and apply information from common industry journals, financial reports, and legal documents. + Interpret and apply policies in order to identify and… more