- TD Bank (Fort Lauderdale, FL)
- …you've got years of banking experience or are just starting your career in financial services , we can help you realize your potential. Through regular leadership ... + Contribute to strategic initiatives aimed at strengthening the culture of compliance and financial crime risk awareness across the organization. **Depth… more
- TD Bank (Fort Lauderdale, FL)
- …to lead, train and mentor teams in conducting thorough investigations, ensuring regulatory compliance , and maintaining high standards of accuracy. Manages staff, ... to potential money laundering, terrorist financing and other illicit financial crimes, and Regulatory reporting requirements. The...banking experience or are just starting your career in financial services , we can help you realize… more
- JPMorgan Chase (Tampa, FL)
- …management, assessment, control evaluations, or a related field, preferably within the financial services industry. Possess a strong understanding of industry ... contribute to the Testing CoE's overall success and strengthen the firm's compliance with regulatory obligations and industry standards, through collaboration… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Bachelor's degree (BA /BS) and a minimum of two (2) years of experience in Compliance and/or the financial services industry. ~or~ + Any equivalent ... reviews. + Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory… more
- TD Bank (Jacksonville, FL)
- …you've got years of banking experience or are just starting your career in financial services , we can help you realize your potential. Through regular leadership ... + Contribute to strategic initiatives aimed at strengthening the culture of compliance and financial crime risk awareness across the organization. **Depth… more
- TD Bank (Jacksonville, FL)
- …you've got years of banking experience or are just starting your career in financial services , we can help you realize your potential. Through regular leadership ... service providers to deliver AML/ATF/Sanctions/ABAC programs that satisfy regulatory requirements. Additionally, this role assists in reviewing higher risk… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …degree preferred. Minimum of ten (10) years of Compliance , Legal, Banking and/or regulatory experience in the financial services industry. + Minimum five ... obtained through education, experience, and/or specialized training in financial services industry information and records management compliance to support… more
- Citigroup (Tampa, FL)
- …reporting control issues with transparency. **Qualifications:** + 5-8 years of experience within financial services , preferably in a compliance risk role + ... of compliance related issues. + Reviewing materials to ensure compliance with various regulatory and legal requirements. Identifying and addressing… more
- Citigroup (Tampa, FL)
- …experience in compliance , legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or ... of policies, resolution of potential red flags or other client/transaction-related compliance escalations. + Represent Citi on critical regulatory and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Trainee will balance new client development, sales activities, investment management, customer service and compliance with personal and professional growth and ... required production. + Provides a high level of client service . + Manages the full scope of a client...**Certifications** S65 - Uniform Investment Adviser Law Examination - Financial Industry Regulatory Authority (FINRA), s66 -… more