- Raymond James Financial, Inc. (St. Petersburg, FL)
- …is beneficial but not required + Principles of banking and finance and securities industry operations . + Financial markets and products. **Advanced skill in:** ... and Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance. + Rules and regulations of the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in the securities industry. + Principles of banking and finance and securities industry operations . + Financial markets and products. **Advanced skill in:** ... and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance. + Rules and regulations of: … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …compliance issues involved with retail activity. + Principles of banking, finance, and securities industry operations + Rules and regulations of the ... trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Some guidance is provided to… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in the securities industry. + Principles of banking and finance and securities industry operations . + Financial markets and products. **Advanced skill in:** ... and Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance. + Rules and regulations of: … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …practices and procedures used in the securities industry. + Principles of securities industry operations . + Financial markets and products. **Skill in:** + ... research, and resolve problems. **Essential Duties and Responsibilities** + Performs securities registration functions including form filings and SRO registration. +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in the securities industry. * Principles of banking and finance and securities industry operations . * Financial markets and products. **Advanced Skill in:** ... skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and manage an… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the securities industry. * Principles of banking and finance and securities industry operations . * Financial markets and products including annuities, UITs, ... and constantly evolving practices. * Assists clients, branches, advisors, and back-office operations with general questions on all aspects of our business and… more
- Citigroup (Tampa, FL)
- …process optimization, Digital First, and regulatory mandates. **Job Background/context:** Securities Services Operations comprises of multiple operations ... and Technology. This role will support the Custody business within the Custody Operations team. The individual will be responsible for contributing to the … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the securities industry. + Principles of banking and finance and securities industry operations . **Skill in:** + Gathering, streamlining and communicating ... complex information in a digestible way. + Creating reports, presentations and talking points for senior leaders. + Providing support and guidance for compliance efforts. + Reviewing materials for compliance with rules and regulations. + Researching compliance… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the securities industry. * Principles of banking and finance and securities industry operations . * Financial markets, products, financial advisory function ... and investment process. **Skill in** : * Personal trust administration. * Strong interpersonal and leadership skills to provide a high level of customer service. * Cultivating and maintaining effective working relationships at all levels of the organization. *… more