- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and a minimum of two (2) years of experience in Compliance and/or the financial services industry. ~or~ + Any equivalent combination of experience, education, ... reviews. + Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory… more
- PNC (Coral Gables, FL)
- …responsibilities may be performed remotely, at manager's discretion. Commercial Banking provides financial services , both in and out of PNC's branch footprint, ... Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of… more
- PNC (Naples, FL)
- …Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of ... consultative interactions with clients, and solutions that help them achieve financial well being. Creates a differentiated customer experience, making banking easy… more
- PNC (Vero Beach, FL)
- …Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of ... consultative interactions with clients, and solutions that help them achieve financial well being. Creates a differentiated customer experience, making banking easy… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Bachelor's Degree and a minimum of one (1) year of relevant business experience in financial services . + OR ~ + Any equivalent combination of education, training ... scope and complexity to support the RIA & Custody Services (RCS) Division. Duties include supporting the administration of...the custodial and clearing business. + Fundamental concepts of financial markets and products. + Regulatory rules,… more
- Lumen (Tallahassee, FL)
- …role will be considered. * Preferred working knowledge of legislative and financial regulatory compliance standards and best practices. * Preferred CRISC, ... control compliance. * Conduct periodic risk assessments to ensure that legal, regulatory , and audit requirements are met. Perform risk analytics and reporting to… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Work Experience** General Experience - More than 15 years **Certifications** Certified Financial Services Auditor (CFSA) - The Institute of Internal Auditors, ... as assigned. **Knowledge of** + Advanced concepts, practices and procedures of financial , regulatory and IT auditing. + IIA's Professional Practices Framework.… more
- MUFG (Tampa, FL)
- …or log management solutions. + Experience working in the financial services industry. + Knowledge and experience with regulatory compliance. **Working ... + Design, build, operate and maintain network security infrastructure and cloud security services . + Provide consultation service to internal customers on risk… more
- PNC (Lake Mary, FL)
- …Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of ... small business segments are Retail, Agricultural, Healthcare, Manufacturing, Professional Services , Wholesale and Women in Business. As a Relationship Manager… more
- MUFG (Tampa, FL)
- …or log management solutions. + Experience working in the financial services industry. + Knowledge and experience of regulatory compliance. Working Knowledge ... environment. + Knowledge and experience supporting Software as a Service (SaaS) and Secure Access Service Edge...not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the… more
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