- MyFlorida (Tallahassee, FL)
- …be members of the Florida Bar. Preferences: + Experience in administrative or financial regulatory law. + Litigation experience. + Experience in conducting ... Website (http://www.dms.myflorida.com/workforce\_operations/human\_resource\_management/for\_job\_applicants/e\_verify) . Requisition No: 859618 Agency: Office of Financial Regulation Working Title: SENIOR ATTORNEY - 43001889 Pay… more
- PNC (Jacksonville, FL)
- …Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of ... Manuals, policies and procedures accurately reflect current laws, rules, other regulatory requirements and management intent. Coordinates regulatory examinations… more
- MUFG (Tampa, FL)
- …of experience of internal audit and/or equivalent of experience with the financial services industry, related markets, and related regulatory agencies. + ... (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …operations + Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities ... specialized training and/or certification in securities and/or banking industry to mitigate regulatory , litigation and reputation risk to the firm as it relates to… more
- Wells Fargo (Miramar Beach, FL)
- …work experience, training, military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …operations * Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities ... **Department Overview:** Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides … more
- JPMorgan Chase (Tampa, FL)
- …mitigation + Familiarity with risk management frameworks, industry standards, and financial industry regulatory requirements + Proficient knowledge and expertise ... that implemented controls are operating effectively and in compliance with regulatory , legal, and industry standards. By partnering with various stakeholders,… more
- MUFG (Tampa, FL)
- …(b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association ... heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across… more
- MUFG (Tampa, FL)
- …(b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association ... heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Financial risk management and mitigation strategies to support sound financial planning. + Regulatory expectations for Large Financial Institutions ... Rate Risk modeling capabilities in preparation for continued growth and additional regulatory requirements associated with firms in excess of $100 billion. The role… more