- MUFG (Tampa, FL)
- …and auditors. **Business and Technical Knowledge** + Broad view of the financial services industry. + Strong knowledge of corporate, investment banking ... (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)
- …and services . + Experience in liquidity risk management. + Financial analysis concepts, practices, and procedures. + Fundamental concepts of financial ... risk management and mitigation strategies to support sound financial planning. + Regulatory expectations for Large Financial Institutions (LFI). **Ability… 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 ... actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading ...to provide guidance and support to operational, business and regulatory teams and will perform expert level database security… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Travel** Less than 25% ... findings & reports to various lines leadership. Reports are also used for regulatory purposes. Some of the main responsibilities include: + Acting as a point… more
- PNC (Tampa, FL)
- …Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of ... policies and procedures accurately reflect current laws, rules, other regulatory requirements and management intent. Independently challenges analyses, reviews and… more
- MUFG (Tampa, FL)
- …Significant experience managing complex and dynamic Third-Party relationships. + Knowledge of regulatory bodies governing financial services and in providing ... addition to other US regulators (eg, NY Department of Financial Services ), and foreign-based regulators (eg, Japan's...not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …individual state/jurisdiction registrations and examination request processes * Reconciles Financial Industry Regulatory Authority (FINRA) annual renewal reports ... registrations-related issues. Maintains regular contact with internal stakeholders and regulatory agencies to identify, research and resolve registration-related inquiries… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …(8) to ten (10) years of relevant experience in the financial services industry. **Licenses/Certifications:** None required **Education** Bachelor's, Bachelor's: ... 10 to 15 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Travel** Less than 25%… more
- Copeland (Palm Beach Gardens, FL)
- …company policies and best practices. Serve as a point of contact for financial and regulatory compliance issues. Lead accounting methodology definitions for ... for its offices in Palm Beach Gardens, Florida. Job Description: Provide financial leadership and direction for the company's Commercial and Residential business in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Financial markets and products. **Skill in** + Working understanding of financial services risk and regulatory controls. + Works well individually, ... 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Travel** Less than 25%… more