- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and/or certification in securities and/or banking industry to support the firm's compliance monitoring program. Delivers comprehensive Compliance ... Management and external stakeholders. Supports the oversight and governance for the compliance monitoring program, including overseeing complex reviews and large… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Propose audit objectives, scope, procedures and internal control reviews to ensure compliance with policies and procedures. * Participate in audit engagements from ... * Implement and execute an effective program of continuous monitoring for assigned audit areas. * Monitor key metrics...the ability to present complex and sensitive issues to Senior Management. * Strong analytical skills, particularly in regard… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …impact the business. * Perform ongoing analysis of risk trends through business monitoring and audit coverage execution. * Partner with other groups within Audit to ... of business areas, financial products, and supporting functions. * Perform continuous monitoring of various business groups. * Perform data collection and analysis… more
- Morgan Stanley (Bradenton, FL)
- …experience . At least 5 or more years of experience as a Financial Advisor (with satisfactory production and compliance record) or comparable branch management ... fiscal management, personnel management and morale, business ethics and practices, and compliance with all Federal, State, and Local laws and regulations. The… more