- PNC (FL)
- …Organization supporting the Risk, Change, Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may be ... opportunity to contribute to the company's success. As a Compliance Program Advisor , you will be within...will also be responsible for the following: - Coordinating regulatory compliance efforts for PNC's organizations, planning,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …regulations and limit firm liability. Conduct internal reviews to ensure compliance with regulatory requirements and internal policies including potential ... + Reviews requests for Outside Brokerage Accounts to ensure compliance with firm policy and regulatory rules...procedures, and methods. + Conflicts of Interest and other compliance issues involved with branch manager/FA trading … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …account trading activity of clients' accounts by monitoring financial advisor activity, reporting findings and managing concerns in a professional and ... and databases. + Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. + Detail orientation to ensure… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Duties and Responsibilities:** * Reviews requests for Outside Business Activities to ensure compliance with firm policy and regulatory rules. * Interfaces with ... to administer and analyze complex suitability reviews to detect trends, trading patterns and possible rules violations to ensure adherence to securities… more
- Truist (Jacksonville, FL)
- …Sales Management. + Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy. ... + Bachelor's degree in Finance or Business. + 7 or more years of regulatory , compliance or supervisory experience + FINRA Series 4 **General Description of… 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 ... on the firms' control environments. * Analyze asset managers' adherence to internal compliance policies and regulatory requirements. * Create and execute an… more
- Truist (Tampa, FL)
- …investment, portfolios. 8. Adhere to (and document) risk management and compliance with all relevant regulatory policies and procedures. QUALIFICATIONS ... acts as a primary source for investment communication. Assists the Wealth Advisor in acquiring Reserve-level, prospective clients. 2. Assist Wealth Advisors with… more
- Citigroup (Tampa, FL)
- …along with a committed effort to stay apprised of new and changing regulatory and legal issues and industry initiatives. The function requires extensive interaction ... clients and their internal/external counsel as well as coordination with the firm's trading /sales, legal, credit and tax areas. The role is also expected to have… more