- Citigroup (Tampa, FL)
- The Transaction Management Officer II is a senior level, non-attorney role, responsible for representing the Legal Function in providing Transaction Management ... relationship, entering into transactions or services with Citi, documenting trading in securities between two or more parties). This role requires a pragmatic,… more
- Citigroup (Miami, FL)
- The Mortgage Lending Officer role is a developing professional role. This role identifies policy and applies specialty knowledge in monitoring and assessing ... services, including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management. Citi Bank Retail Mortgage provides… more
- Bank of America (Palm Beach, FL)
- Wealth Management Lending Officer Palm Beach, Florida **Job Description:** Merrill Wealth Management is a leading provider of comprehensive wealth management and ... customers of product/pricing policies and guidelines, while maintaining regulatory and compliance requirements of the Line of Business. This position is subject… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …essential risk context. . Reports risk-related data including risk exposure, compliance to risk policies, and effectiveness of current risk management strategies ... provide advice on such documentation negotiation from the credit perspective. . Securities /Private Client and Asset Management products and an understanding of the… more
- MUFG (Tampa, FL)
- …the Executive Management. Ensure all default, principal and interest draws are in compliance with the LC terms and conditions and comply with the internal procedures ... and compliance requirements. + **Quality Control and Customer Service** :...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- KeyBank (Palm Beach Gardens, FL)
- …legal issues, distribution, etc. + Pro-active client contacts, per service standards ** Compliance ** + Maintains compliance with all internal policies and ... as part of sales and client servicing team + Working knowledge of investments/ securities COMPENSATION AND BENEFITS This position is eligible to earn a base salary… more
- Citigroup (Jacksonville, FL)
- …pose excessive risk(s). + Develops and drives quality-checking routines to ensure compliance with all relevant policies, operating guides, and owned control testing. ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- MUFG (Tampa, FL)
- …controls, and identifying issues resulting from internal and external compliance examinations + Experience evaluating process documentation, risk, and control ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and/or specialized training in financial services industry information and records management compliance to support the firm's overall efforts to manage information ... compliance risk. This role is responsible for collaborating with...**Essential Duties and Responsibilities** + Support the Chief Privacy Officer (CPO) and VP, Books and Records Governance to… more
- Citigroup (Miami, FL)
- A Service Officer provides service support to the Citi Private Latin America businesses. Their focus is to ensure that effective client service is provided to our ... relationships they build to recognize business growth opportunities. The Service Officer strives to continuously improve all of its end-to-end processes, procedures… more