- First Horizon Bank (Miami Beach, FL)
- …for clients, their attorneys and CPAs. + Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing ... a culture champion that is aligned with First Horizon Bank 's Purpose, Mission and Values + Establish and maintain...audit, compliance and regulatory framework in order to ensure a high quality,… more
- KeyBank (Palm Beach Gardens, FL)
- …Analyzes and interprets legal instruments to determine duties and responsibilities of bank . Identifies and resolves potential trust and estate tax- related issues. ... Management process, prioritized pro- active client contacts, per service standards. Compliance Maintains compliance with all internal policies and procedures,… more
- Regions Bank (The Villages, FL)
- …unless required by law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions' Retention Schedule for a minimum ... **Job Description:** At Regions, the Financial Advisor establishes a portfolio of bank customers based on meeting the financial objectives of the customer through… more
- Regions Bank (West Palm Beach, FL)
- …unless required by law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions' Retention Schedule for a minimum ... affluent and high net worth market segments utilizing unbiased, consultative advisory approaches and sound personal financial planning and financial advisory… more
- Regions Bank (Miramar Beach, FL)
- …unless required by law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions' Retention Schedule for a minimum ... affluent and high net worth market segments utilizing unbiased, consultative advisory approaches and sound personal financial planning and financial advisory… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …for the Capital Markets division. This role requires significant industry expertise, regulatory acumen, and leadership skills to manage compliance functions, ... professionals to support business growth and adapt to changing regulatory landscapes. + Foster a culture of compliance... practices, concepts, and procedures. + SEC, FINRA, FRB Bank Holding Company, and state regulatory frameworks.… more
- Navy Federal Credit Union (Pensacola, FL)
- …and existing regulations and legislation to ensure compliance + Ensure full compliance of all applicable regulatory organizations and NFFG + Recommend policy ... NFIS, LLC member FINRA/SIPC and an SEC Registered Investment Advisory Firm as well as activities through NFIS online... + Prepare ad hoc and required industry and regulatory reports including audit inquires in compliance … more
- American Express (Sunrise, FL)
- …Compliance oversight, guidance and challenge to business stakeholders on compliance / regulatory requirements applicable to projects and processes. This ... + Review of customer-facing materials (eg marketing collateral) to effectively mitigate compliance risks and provide regulatory guidance on the applicability of… more
- American Express (Sunrise, FL)
- …& Compliance . CPAT is responsible for administering a comprehensive UDAAP/UDAP regulatory compliance Program. CPAT is responsible for business process and ... within a team environment and independently drive results + Certified Regulatory Compliance Manager (CRCM) Certification **Qualifications** Salary Range:… more
- Truist (Fort Myers, FL)
- …of influence who will enhance business development efforts. 7. Work within existing audit, compliance and regulatory framework in order to ensure a high quality, ... footprint). Utilize objective and sound personal financial planning and financial advisory concepts to develop and deepen relationships and provide an integrated… more