- Raymond James Financial, Inc. (Coral Gables, FL)
- …large client liquidity events, private placement investment monitoring. + Trading of both discretionary and non-discretionary products, model maintenance and ... technologies. + Ensures key client information and documentation is current with firm and industry requirements, rules and regulations. + Works both independently… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …specialized knowledge. Supervision is committed to supporting and protecting clients and the firm while preserving our culture and adhering to our core values of ... violations and ensure adherence to securities industry regulations, thereby limiting firm liability. Conduct internal reviews to ensure compliance with regulatory… more
- Citigroup (Tampa, FL)
- …when business decisions are made, demonstrating particular consideration for the firm 's reputation and safeguarding Citigroup, its clients and assets, by driving ... over-the-counter derivatives, securities financing transactions, exchange-traded derivatives and cash trading . + Understanding of how firms manage Credit and Market… more
- Santander US (Miami, FL)
- …analytical skills, attention to detail, and the ability to work in a fast-paced trading environment. + Support operations for agency and principal trading in ... Series 99 mandatory or ability to obtain it within 6 months of joining the firm . **It Would Be Nice For You To Have:** Established work history or equivalent… more
- Truist (Orlando, FL)
- …following job description:** Job Description Summary Purpose: Mitigate risk for the firm from financial, reputation and regulatory items by ensuring that the ... to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems to… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …(including Unified Managed Account), Tax Optimization, Discretionary & Non-Discretionary Trading , Wealth Solutions as well as integration with various other ... implements practice management opportunities by interfacing with various departments across the firm . + Works with User Experience / Design resources to help… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …specialized knowledge. Supervision is committed to supporting and protecting clients and the firm while preserving our culture, and adhering to our core values of ... to administer and analyze complex suitability reviews to detect trends, trading patterns and possible rules violations to ensure adherence to securities… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …fully contribute your unique talents for the benefit of clients, your career, our firm , and our communities. Raymond James is an equal opportunity employer and makes ... During the immersive experience, you will engage with and implement the firm 's core values through our five guiding behaviors. Featuring a comprehensive orientation,… more
- Capco, a Wipro Company (Orlando, FL)
- …control teams. The role of the Junior Compliance Analyst is to ensure that the firm and its employees conduct business in accordance with federal and state laws and ... and Exchange Commission, The Federal Reserve Bank, the Commodity Futures Trading Commission, Financial Industry Regulatory Authority (FINRA), and other governmental… more
- Raymond James Financial, Inc. (Boca Raton, FL)
- …technologies. + Ensures key client information and documentation is current with firm and industry requirements, rules and regulations. + Processes and monitors the ... and educational and/or professional development opportunities to remain current on firm and industry policies and procedures. + Performs other duties and… more