- Raymond James Financial, Inc. (St. Petersburg, FL)
- …infrastructure. + Privacy risk management. + Relevant risk based regulatory schemes. + FINRA , SEC , FRB and other regulations relevant to management of privacy. ... associates, budget, reporting structure, and division of responsibilities within Compliance department. + Oversees the privacy impact assessments (PIAs), data… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … compliance . + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state securities regulatory ... assess privacy-related risk with business partners to identify and address privacy-related compliance gaps or areas of privacy risk in support of business… more
- Insight Global (Tampa, FL)
- …all retail communication complies with states and federal laws, state insurance regulations, FINRA and SEC rules and regulations, and internal company standards. ... local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and.... Skills and Requirements -3 years of experience within compliance in a financial environment -Series 7 & 24… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC ) and platform policies and procedures as they apply to ... industry operations + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC ) and platform policies and procedures as they apply ... industry operations + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Knowledge, Skills, and Abilities** **Knowledge of** + Federal Reserve, OCC, FINRA , SEC , and other relevant regulatory guidance + Experienced ... training. + Strong understanding of risk-related regulatory requirements (eg, OCC, FRB, FDIC, SEC , FINRA ) and ability to apply data analytics to risk reporting… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Monitors regulatory compliance with internal and external groups including auditors, FINRA , IRS, SEC and others. **Knowledge of:** + Company's working ... ability to obtain within 120 days (as required by FINRA ), provided that an exemption or grandfathering cannot be...ability to obtain within 120 days (as required by FINRA ). Persons holding Series 6, 7, 17, 37 or… more
- MUFG (Tampa, FL)
- …Broker - Dealer and applicable regulations, such as DFA Swap Dealer, Volcker and FINRA , SEC and NASD rules. + Experience working with financial industry ... impact on risk and/or risk management practices. + Maintain compliance with audit methodology, while also operating within industry...regulators, including OCC, FRB, and FINRA + Deep knowledge of risk assessment, audit methodology,… more
- MUFG (Tampa, FL)
- … with applicable rules and guidance impacting the TPRM program including OCC, FBR, FDIC, SEC , FFIEC, FINRA ; in addition to other US regulators (eg, NY Department ... committees. + Provide oversight for outsourced TPM activities - ensuring compliance with expected performance and contractual terms and SLAs. + Responsible… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …including private markets products. + Legal agreement drafting and negotiation. + Relevant FINRA / SEC rules and regulations. + Principles of banking and finance ... both internal clients and functional area representatives including legal, compliance , supervision, operations, and AML. **Essential Duties and Responsibilities:** +… more