- Raymond James Financial, Inc. (St. Petersburg, FL)
- …guidance to compliance efforts in assigned business entity. * Informs Senior Compliance Management about issues that may involve rule violations or potential ... testing, audit practices and applicable US broker-dealer and registered investment adviser regulatory requirements and controls to work closely...and controls to work closely with senior members of Compliance and business management in a … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …uses knowledge and skills obtained through education and experience to ensure compliance of investment advisory business practices with Advisers Act, state ... factors as necessary. Includes directly contacting FAs and communication with branch management . * Provides compliance support in the development and enhancement… more
- Deloitte (Miami, FL)
- …you should consider a career in Deloitte's International Private Equity and Investment Management practice. What You'll Do As a Manager , you will work within ... thinker with first-hand knowledge of the private equity and investment management industries? Do phrases like "cross...your interest? Do you enjoy providing tax consulting and compliance services to US and foreign clients while identifying… more
- Deloitte (Jacksonville, FL)
- …prior experience to provide tax compliance and advisory services to investment management clients. You will assist clients with effective analysis, solution ... have an exciting opportunity for you as a Tax Manager on our growing team! What you'll do As...the global leader in providing professional services to the Investment Management industry, Deloitte Tax LLP works… more
- Deloitte (Tampa, FL)
- …and local tax issues? Are you intrigued by the tax considerations specific to investment management , private equity, real estate and/or hedge fund clients? If ... for you! We are looking for an innovative, analytical Manager who is ready to handle new challenges and...diverse and inclusive workplace The TeamDeloitte's Multistate Tax Services Investment Management group has more than 1,500… more
- Deloitte (Miami, FL)
- …you serve + 5+ years of public accounting experience (at least 3 years in investment management ) + One of the following accreditations obtained: + Licensed CPA ... knowledge across multiple areas of taxation? Do you excel at delivering compliance and consulting services to individual clients and their trusts, estates, family… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …methods. * Concepts, practices and procedures of securities industry and/or investment advisory compliance , including suitability, fiduciary standard, and other ... corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset… more
- Citigroup (Tampa, FL)
- …and FINRA regulatory disclosures/filings + Provide day-to-day legal support of the investment management business, including matters related to client ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...investment management agreements and enrollment documents, investment policy… more
- Truist (Tampa, FL)
- …and the Investment Advisory Group (IAG) to assist in the delivery of Investment Management Services to clients in Truist Wealth who generally have $5mm+ in ... for investment communication. The IA assists the Investment Manager in acquiring prospective clients through...oral and written communication skills. + 2+ years of investment management / trading or related experience.… more
- Citigroup (Jacksonville, FL)
- …to Know-Your-Customer (KYC) and Anti-Money Laundering (AML) procedures for Citi's Investment and/or Banking clients. Position is responsible for providing best in ... class service on Banking and/or Investment inquiries, and ensuring risk is prudently managed. **Responsibilities:**...and firm policy. + Ensures that KYC/AML and other compliance norms are strictly adhered to. + Builds a… more