- Deloitte (Miami, FL)
- …technologies. Responsibilities include: + Helping importers and exporters achieve worldwide compliance and realize efficiencies in their global supply chain. + ... US and foreign multinational companies on global import and export strategies and compliance . + Working with clients to assess and deploy technology solutions to… more
- Truist (Orlando, FL)
- …items by ensuring that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal policies and procedures. ... to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems to… more
- CBRE (Tallahassee, FL)
- …equity compensation program. Responsible for the day-to-day equity awards, compliance with internal policies and external regulations, employee communications, and ... and Finance to ensure correct reporting, tax withholding, and compliance with accounting and tax regulations). + Assist with...+ Partner with Legal to monitor and maintain insider trading windows, blackout periods, and 10b5-1 plans. + Participate… more
- TD Bank (Lake Mary, FL)
- …grow, innovate, and succeed, while delivering infrastructure services to support trading , investment, and corporate banking functions. Team Overview: The Client Due ... periodic reviews, and on an ongoing basis. The team ensures compliance with Global AML requirements, mitigating operational, regulatory, and reputational risks.… more
- Coinbase (Tallahassee, FL)
- …the application of ASC 606/IFRS 15 to complex crypto-native transactions (eg, spot trading fees, staking rewards, NFT royalties, etc.). * Develop and maintain robust ... services. * Ensure accurate and timely recording of revenue transactions in compliance with GAAP/IFRS and company policies. * Oversee month-end and quarter-end close… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to administer and analyze complex suitability reviews to detect trends, trading patterns and possible rules violations to ensure adherence to securities ... and Responsibilities:** * Reviews requests for Outside Business Activities to ensure compliance with firm policy and regulatory rules. * Interfaces with specific… more
- Charles Schwab (Orlando, FL)
- …to supervisory program reviews of electronic communications, product/service recommendations, trading activity, and trend reporting. The Centralized Risk Supervisor ... and valid Series 9/10 license or equivalent + 5+ years' supervision/ compliance /regulatory experience + Bachelor's degree or equivalent work experience + Strong… more
- Citigroup (Tampa, FL)
- …liquidity and financial data across multiple technology systems to ensure compliance with Consent Orders (CO), Matters Requiring Attention (MRA) and regulatory ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …managers to acquire information necessary to analyze investment structures, offering terms, trading and operations, along with legal and compliance programs. The ... the firms' control environments. * Analyze asset managers' adherence to internal compliance policies and regulatory requirements. * Create and execute an annual… more
- RWE Clean Energy (Tampa, FL)
- …and production of customer deliverables + Manage phases of Projects in compliance with Contracts, maintain or enhanced customer satisfaction and ensure projects are ... time and within budget + Monitor and manage jobsites compliance with the corporate safety plan, design drawings and...of American industry. This is complemented by RWE's energy trading business. RWE is also a major offtaker of… more