- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Responsibilities:** * Reviews requests for Outside Business Activities to ensure compliance with firm policy and regulatory rules. * Interfaces with specific ... methods. * Concepts, practices and procedures of securities industry and/or banking compliance , including suitability and other compliance issues involved with… more
- Citigroup (Miami, FL)
- …Help team members to acquire experience and establish credibility with clients ** Compliance Oversight and Controls** + Comply with all regulatory policies and ... regarding client transactions and suitability + Oversee and ensure compliance with the following processes: Investment Objective Setting (IOS),...and web based applications **Qualifications and Education** + Licensing: Series 7 & 66 (or 63 & 65) +… more
- JPMorgan Chase (Sebring, FL)
- …you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life ... completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High...continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator… more
- JPMorgan Chase (Apopka, FL)
- …within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. + High school ... GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses are… more
- Commander, Navy Installations (Pensacola, FL)
- …needs, challenges and presents recommendations and assistance to influence policy compliance issues. Stays abreast of Department of Defense (DoD), Department of ... in sexual assault cases. Ensures collection of data in compliance with policies and guidance. Provides consultation support for...and from dates. Government positions must include pay plan, series , grade, to and from dates and address of… more
- JPMorgan Chase (Sarasota, FL)
- …within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. + High school ... GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses are… more
- JPMorgan Chase (Riverview, FL)
- …+ Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses ... within established risk parameters/tolerances and meets internal/external risk and compliance obligations, including completion of required training + Excellent… more
- The Boeing Company (Jacksonville, FL)
- …procedures and established processes to ensure contractual and regulatory compliance (eg, repairs, test results, applicable modifications, and inspection results). ... or manufacturer's manuals. + Perform all maintenance action IAW CNAFINST 4790.2 series processes and procedures. + Identify material and special tools needs to… more
- Veterans Affairs, Veterans Health Administration (Tampa, FL)
- …and equipment sufficient to identify and resolve problems and assure compliance with appropriate requirements. Knowledge of the types of surveillance needed ... & regulations to plan and conduct the surveys of laboratories; assure compliance of CAP and Joint Commission standards; develop & recommend regulations, criteria,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …improvement opportunities and implements best practices to enhance efficiency and compliance + Ensures adherence to all regulatory requirements and internal policies ... + Expert knowledge of mortgage products + Risk management and compliance frameworks within financial services + Organizational policies, procedures, and systems… more