- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to review and analyze potential rule violations and ensure adherence to securities industry regulations, thereby limiting firm liability. Conduct internal reviews to ... area, and ability to interpret laws and regulations in light of operations . Ensures all external regulatory frameworks are complied with within reasonable risk… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …ensuring adherence to SEC, FINRA, FRB Bank Holding Company, and state securities regulations. + Engage with senior business leaders, providing compliance guidance to ... decision-making and operational risk management. + Maintain expertise in securities underwriting, private placements, syndicate matters, Reg M, and electronic… more
- Citigroup (Jacksonville, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... region of the world and every sector that shapes your daily life, our Enterprise Operations & Technology teams are charged with a mission that rivals any large tech… more
- Citigroup (Miami, FL)
- …with clients via telephone, email, fax or in person + Interface with Operations and Product Areas to insure timely response to inquiries + Identify cross-selling ... investments/mutual funds subscriptions, redemptions, structured notes, capital markets or securities purchases and sales. + Follow-up on the resolution of… more
- Citigroup (Tampa, FL)
- …LATAM region. **Qualifications:** + 2-5 years of relevant experience in financial services operations , with a focus on LATAM markets. + Fluency in both Spanish and ... practices in LATAM. + Knowledge of various investment instruments, including Equity securities , Fixed Income, and Asset-Backed securities . + Proficiency in MS… more
- Citigroup (Tampa, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... region of the world and every sector that shapes your daily life, our Enterprise Operations & Technology teams are charged with a mission that rivals any large tech… more
- Citigroup (Tampa, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... region of the world and every sector that shapes your daily life, our Enterprise Operations & Technology teams are charged with a mission that rivals any large tech… more
- Citigroup (Tampa, FL)
- …our business and be updated of changes in them. **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives Processing ... from trust agreements, trading desks and branch offices in coordination with the Operations - Services team. The overall objective of this role is to lead… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …information necessary to analyze investment structures, offering terms, trading and operations , along with legal and compliance programs. The Senior Associate ... **Qualifications - External** **Knowledge, Skills, and Abilities:** **Knowledge of:** * Operations of broker dealers, hedge funds, private equity, and similar firms… more
- Citigroup (Tampa, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... region of the world and every sector that shapes your daily life, our Enterprise Operations & Technology teams are charged with a mission that rivals any large tech… more