- Citigroup (Tampa, FL)
- …with a range of internal stakeholders including Front Office Sales and Trading Desks, Compliance, Legal, Finance and HR; alongside having significant interaction ... our reputation. Prime Finance Middle Office supports the Stock Lending and Equity Finance trading desks and is part of the overall Prime Finance Business unit. We… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …documentation. + System analysis and business process modeling. + Principles of securities industry operations. + Business planning and analysis. **Skill in** + ... Clarifying system interface requirements and relationships. + Creating and interpreting process maps and flowcharts. + Interpreting client input, clarifying issues, and developing solutions. + Conducting business processes and systems, feasibility, and cost… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …or certification to administer and analyze various reviews to detect trends, trading patterns, and possible rules violations to ensure adherence to securities ... SEC) and platform policies and procedures as they apply to account trading activity of clients' accounts by monitoring financial advisor activity, reporting findings… more
- Citigroup (Tampa, FL)
- …level position responsible for processing orders and transactions originating from trading desks and branch offices in coordination with the Operations - ... to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Resolve complex process problems… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …encompassing Equity Investment Banking, Equity Research, Institutional Equity Sales & Trading , Affordable Housing Investments, Fixed Income Sales & Trading , ... ensuring adherence to SEC, FINRA, FRB Bank Holding Company, and state securities regulations. + Engage with senior business leaders, providing compliance guidance to… more
- Citigroup (Tampa, FL)
- …entry level position responsible for processing orders and transactions originating from trading desks and branch offices in coordination with the Operations - ... to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Utilize basic industry and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …join our team, specializing in Security Master Reference, Pricing, and End to End Trading Data Management. This role demands a unique blend of technical expertise in ... financial securities data, operational problem-solving acumen, and strategic insight to...support, for all things security-master reference, pricing, and reporting trading data within Capital Markets. The ideal candidate will… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …certification to administer and analyze complex suitability reviews to detect trends, trading patterns and possible rules violations to ensure adherence to ... securities industry regulations and limit firm liability. Works independently...* Monitors and keeps up to date with applicable securities /advisory regulations. * Interprets, applies and recommends changes to… more
- Bank of America (Jacksonville, FL)
- …and financial markets and assists clients with their servicing and trading needs through inbound and outbound phone interactions. The Investment Consultant ... Educates potential and existing clients about investment products, services, and trading strategies offered by the bank Delivers on performance goals by… more
- The Hertz Corporation (Estero, FL)
- …legal setting under the guidance of attorneys, which includes supporting Securities and Exchange Commission ("SEC") filings and public company compliance, SOX ... subsidiary management, designated insider list administration and communications for trading windows, and drafting documents as needed, developing matter… more