- Raymond James Financial, Inc. (St. Petersburg, FL)
- …models, including market risk, credit risk, asset management, capital markets and BSA/ AML models. The role involves assisting with model documentation reviews, data ... to support model validation activities. + Help and support model ongoing monitoring , annual review and other model independent review tasks. **Knowledge, Skills, and… more
- TD Bank (Fort Lauderdale, FL)
- …contributes to the development and maintenance of TD's AML /ATF/Sanctions/ABAC programs, including frameworks, methodologies, policies, standards, procedures, ... awareness and specialized training, monitoring , management reporting and/or escalation of issues. This role...work experience + 5+ years experience **Preferred Skills:** + AML or Sanctions risk management or technology experience **Customer… more
- Citigroup (Tampa, FL)
- …+ Deliver audit reports, Internal Audit and Regulatory issue validation and business monitoring and governance committee reports + Lead reviews for all types of ... reviews, including the most complex, and review and approve Business Monitoring Quarterly Summaries + Participate in major business initiatives and pro-actively… more
- Arena Investors LP (Jacksonville, FL)
- …Act of 1940; . Support the CCO with FINRA broker-dealer requirements; . Monitoring of Client guidelines and restrictions; . Review of marketing materials; . Review ... of firm (Investment Adviser and Broker-Dealer) annual compliance review (testing and monitoring ); . Conflicts of interest review; . Code of Ethics administration (eg… more
- Ally (Tallahassee, FL)
- …quality escalation from other areas of the bank. * Implement continuous monitoring and improvement processes to enhance quality. * Identify opportunities to improve ... performing (1) process controls, (2) quality assurance, (3) SLA monitoring and (4) SAR management within the Fraud Prevention...knowledge of regulations such as Reg E, CC, P; BSA/ AML , NACHA, FCRA, FACTA, UDAAP, and SARs. * Experience… more
- Santander US (Miami, FL)
- …line risk initiatives, as assigned, such as risk assessments, KRI/KPI development and monitoring , and on-time remediation of issues. The Associate must be able to ... financial losses. Assist in deployment of the issue management program, including monitoring of corrective actions and reporting to various committees. * Facilitate… more
- Regions Bank (Pensacola, FL)
- …relationships and circumstances + Manages the assigned portfolio by monitoring performance and trends, proactively defining client credit solutions, identifying ... requirements as defined in respective roles and responsibility matrix for AML , CRA/HMDA, Reg B, and other regulatory/compliance requirements within assigned… more
- Coinbase (Tallahassee, FL)
- …MFs) * Good understanding of, or work experience in, topics like transaction monitoring , Enhanced Due Diligence, KYC, AML etc. ID: GPPM05US *Pay Transparency ... Notice:* Depending on your work location, the target annual salary for this position can range as detailed below. Full time offers from Coinbase also include target bonus + target equity + benefits (including medical, dental, vision and 401(k)). Pay Range:… more
- MUFG (Tampa, FL)
- …Chain Finance(SCF) **Unit The Officer is expected to:** + Ensure prompt review and monitoring of workflows of the Unit, assist VP in running daily operations and ... and procedures. Ensure implementation of all compliance regulations including OFAC/BSA/ AML /JFEL//Anti-boycott regulations in the Section's operations. Ensure the Staff… more
- American Express (Sunrise, FL)
- …In partnership with GFCC, GFCSU and USIU develop and implement transaction monitoring rules, reports, and other tools to detect potential criminal activity. They ... due diligence, or law enforcement + Knowledge of SAR filing requirements and AML investigations + Advanced skills in Microsoft Office, including Excel, Word, and… more