- 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
- Citigroup (Tampa, FL)
- …Investments, Insurance products + Working knowledge of securities and bank - side regulations ( FINRA , SEC , OCC, FCA, HKMA, SMA) + Demonstrated track record of ... in, and at times leading, key projects critical to the operation and compliance /risk management of the business + Extensive interaction with global product teams and… 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
- 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 ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Deloitte (Miami, FL)
- …, regulatory structure and organizations including the FRB, the CFPB, the OCC, the CFTC, FINRA , and the SEC The wage range for this role takes into account ... and recommendations and manage day-to-day stakeholder relationships + Demonstrate appropriate compliance and control of capital and liquidity risk + Implement… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …industry operations * Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities ... and Responsibilities:** * Reviews requests for Outside Business Activities to ensure compliance with firm policy and regulatory rules. * Interfaces with specific… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Ensure regulatory compliance and fiduciary alignment with industry standards, including SEC , FINRA , and other governing bodies. + Lead marketing and branding ... + Regulatory landscape governing the asset management business, including compliance and fiduciary requirements. + Business strategy, corporate finance, and… more
- MUFG (Tampa, FL)
- …various line-of-business, risk function SMEs across the firm (For example: Compliance , Business Continuity, Information Security) and third-party contacts to drive ... the TPRM program including those from agencies such as the FFIEC, the SEC , other US regulators (eg, NY Department of Financial Services), and foreign-based… 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 ... structure, policies, mission, and strategies. + Project management methodology sufficient to act in a sponsorship role. + Principles of finance and securities industry operations. + Financial markets and products. + Performance management. **Skills:** + Act as… more