- Raymond James Financial, Inc. (St. Petersburg, FL)
- …include, but may not be limited to: + **Advisory & Support:** Provide hands-on compliance guidance to Fixed Income Sales & Trading teams. Collaborate closely ... Duties and Responsibilities** As a core member of the Compliance team, you will serve as a subject matter...Middle Office teams. + **Program Oversight:** Manage and enhance compliance processes, policies, and procedures to ensure adherence to… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and existing investments, including assessments of business, financial, legal, and compliance . **Knowledge of** + Consumer Banking and Insurance Products. + ... Alternative Investments. + Institutional Equity and Fixed Income Investment Solutions. + Asset Management. + Private...associates at all levels. **Ability to** + Work with senior executives to develop a strategic vision and roadmap… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … activities are commensurate with the level of risk being mitigated. + Informs Senior Compliance Management about issues that may involve rule violations or ... issues. **Essential Duties and Responsibilities** + Assists the Capital Markets Fixed Income Compliance team with managing their core compliance program to… more
- First Horizon Bank (Tampa, FL)
- …site as described in posting. **Summary** As a Private Client Relationship Manager (PCRM), you are responsible for new business development with High-Net-Worth ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...working complex credit deals and/or in tandem with a senior credit advisor. + Advanced and proven working knowledge… more