- Citigroup (Tampa, FL)
- The Securities & Derivatives Lead Analyst is a senior level position responsible for processing orders and transactions originating from trading desks and branch ... to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Identify project resources,… more
- Guardian Life (Tallahassee, FL)
- …Do you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you ... will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk-based plan for… more
- Citigroup (Tampa, FL)
- The Securities & Derivatives Sr Manager is a senior management level position responsible for accomplishing results through the management of a team or ... of this role is to ensure the seamless delivery of securities and derivatives transactions. **Responsibilities:** + Communication between clients and internal… 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
- Citigroup (Tampa, FL)
- …external clients and internal teams, resolving or escalating issues to senior management appropriately. + Process daily collateral movements, exposure management, ... within the business. + Development of communication skills and exposure to senior management by providing management updates at a regional level and participating… 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)
- …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)
- …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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …consolidation and delivery of monthly and quarterly Compliance reports for senior leaders. + Collaborates with cross-functional teams to gather, validate and ... of Code of Conduct updates across the organization. + Routinely interacts with senior leaders within Compliance, Risk, AML and across the firm. + May represent… more