- Coinbase (Tallahassee, FL)
- …regulated environment? We are looking for an exceptional Manager in our Broker Dealer Operations function, establishing the critical controls and ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to...function to support our equities trading product. As a Manager , you will both lead and directly contribute to… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …an alternative fund (eg, hedge fund, private equity fund, etc.) or another broker dealer 's alternative investment department ~or~ * Any equivalent combination of ... of investment support. Partners with the Alternative Investments Group ("AIG") Operations team, Raymond James Financial Advisors, senior leadership within both GWS… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and complexity with significant scope and impact focused on the firm's broker - dealer and investment advisory activities. Assesses risk within assigned internal ... **Job Summary:** The Senior Manager - Internal Audit role operates under general...especially those associated with the registered investment advisory and broker - dealer divisions * Knowledge and understanding of… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Job Summary** Under general supervision and direction of the Manager of IFS Operations , this person will be responsible for daily operational tasks as it ... broad understanding of the different areas of investment advisory relationships and broker - dealer services. Contact with internal and external parties, including… more
- Citigroup (Miami, FL)
- …supervisory issues escalated + Review and approval of designated bank-channel and broker - dealer investments + Manage surveillance alerts within stated policy ... Provides advice and counsel related to the technology or operations of the business. Work impacts an entire area,...Series 9/10 also preferred + Knowledge of Bank and Broker - Dealer businesses, regulatory requirements and related policy… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …assigned. **Qualifications - External** **Knowledge, Skills, and Abilities:** **Knowledge of:** * Operations of broker dealers, hedge funds, private equity, and ... necessary to analyze investment structures, offering terms, trading and operations , along with legal and compliance programs. The Director...five to seven (5-7) years of experience at a broker / dealer , hedge fund, private equity firm, or… more
- Truist (Bal Harbour, FL)
- …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... Supervisor will work closely with Truist Private Financial Advisors, CSAs, Regional Operations Managers and Complex Managers. The individual will be a member of… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …products. + Advanced principles of banking, trust and finance and securities broker / dealer operations . + Wealth Planning offerings and partnerships, ... Private Wealth Advisor (CPWA) preferred. Other combination of designations and experience approved by the Wealth Planning management team and hiring manager . more