- Citigroup (Tampa, FL)
- …objective of this role is to ensure the seamless delivery of securities and derivatives transactions, while also playing an integral role in thought-leadership ... improvements.** **Responsibilities:** **Manage a team of inviduals who execute securities transaction processing related to Securities Clearance Settlement… more
- Citigroup (Tampa, FL)
- The Lead Counsel II is a senior level position responsible for providing legal guidance and thought leadership to the business. The overall objective of this role is ... Security Agency Trading business through the negotiation of the Master Securities Forward Transaction Agreement. Applicants should have experience in GSE Agency… 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 ... and mitigate regulatory risks. As a key member of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and guidelines as well as firm policies governing advisory accounts. A Senior Advisor, general investment advisory is expected to conduct reviews which can ... contact with internal customers to identify, research, and resolve problems. The Senior Advisor in this role will support Raymond James' Private Client Group… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …skills obtained through experience, specialized training and/or certification in securities and/or banking industry to mitigate regulatory, litigation and reputation ... and settlement reporting. + Monitors and keeps up to date with securities /advisory regulations and applies them accordingly. + Interprets, applies and recommends… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …trading patterns and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Works independently on difficult ... conflicts. * Monitors and keeps up to date with applicable securities /advisory regulations. * Interprets, applies and recommends changes to organizational policies… more
- TD Bank (Lake Mary, FL)
- …Mary, Florida, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $55,000 - $65,000 USD TD is committed to providing fair ... Services employees bring diverse talents and experiences to provide value to TD Securities . Our team offers a dynamic and inclusive environment where individuals can… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Job Summary** The Senior Manager of Conflicts of Interest ("COI") Supervision will manage a supervisory team responsible for oversight of the firm's Outside ... to applicable regulations as well as Raymond James policies and procedures. The Senior Manager - COI Supervision reports directly to the Director - COI Supervision.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …continuing education options. **Job Summary:** Raymond James is hiring a Supervision Senior Advisor to review and analyze account disclosures and transaction reviews ... trends, trading patterns and possible rules violations and ensure adherence to securities industry regulations and limit firm liability. Conduct internal reviews to… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and experience to manage a variety of litigation matters with a focus on securities matters in FINRA's arbitration forum and in federal and state courts. Will ... James entities. Will also have extensive contact with internal clients, senior management and outside counsel. **Responsibilities:** * Provides legal review and… more