- 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)
- **Job Summary:** Under very limited supervision, the Senior Associate of Alternative Investment Operational Due Diligence utilizes specialized knowledge and skills ... funds, managed futures funds, and other non-traditional investment opportunities. The Senior Associate is expected to lead onsite diligence meetings and communicate… 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
- Citigroup (Boca Raton, FL)
- The Senior Wealth Advisor SAFE Act is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of new techniques and ... to clients based on client profiling and suitability assessments + Make securities recommendations and provide investment advice to clients through a select number… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …parties, and take appropriate action to resolve any issues identified, so that senior stakeholders have confidence that the project can deliver according to time, ... management. + Investment concepts, practices and procedures used in the securities industry. + Functional, operational and technical requirements of all systems… more
- Wells Fargo (Tampa, FL)
- …career" in the US Join us! **About this role:** Wells Fargo is seeking a Senior Branch Premier Banker (SAFE) in Consumer and Small Business Banking, as part of ... (https://www.wellsfargojobs.com/career-areas/) . Upon required licensing and SAFE registration, the Senior Branch Premier Banker LP (SAFE) non-exempt employee will… more
- Raymond James Financial, Inc. (Coral Gables, FL)
- …methods. + Advanced investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. + Trading ... + Series 7 required. + Series 63, 65 and/or 66 as required by state. + Ability to obtain additional securities and advisory state registrations if required by state. 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 ... services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with… more
- Citigroup (Tampa, FL)
- …Regulatory Remediation, Business Mandatory and Process Management & Improvement. A senior project manager is required to support Legal for various regulatory, ... projects in parallel + Work with colleagues at a senior level across the organization to determine Legal inputs...markets in at least one domain eg, Loans, Derivatives, Securities + Exposure to any of the following would… more
- Cardinal Health (Tallahassee, FL)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... acting as primary day-to-day legal contacts for business clients. **_Job Summary_** The Senior Legal Counsel, serves as the primary legal partner to leaders of a… more