- MUFG (Tampa, FL)
- …of inherent, control, and residual risks. **Primary Responsibilities:** **Regulatory and Compliance ** + Maintain a high degree of knowledge with current and ... controls; and identifying issues resulting from internal and/or external compliance examinations especially in cloud environments. + **Cloud Security:** In-depth… more
- MUFG (Tampa, FL)
- …various line-of-business, risk function SMEs across the firm (For example: Compliance , Business Continuity, Information Security) and third-party contacts to drive ... experience in third-party risk management highly desirable. Additional experience in bank compliance , audit, risk, legal or related positions. + Strong analytical or… more
- MUFG (Tampa, FL)
- …and evolve to newer technology stacks and architecture. Security and Compliance : Implement and enforce security best practices for Data Integration Platforms ... with 'Secure by Design' principles. Ensure compliance with relevant regulations and internal policies through proper configuration and auditing. Documentation and… more
- Truist (Tampa, FL)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... disabilities to perform the essential functions. * Bachelor's Degree Required * FINRA : Maintains proper licenses including Series 7, Series 66, the Securities… more
- Coinbase (Tallahassee, FL)
- …risk assessments to make informed, risk-based recommendations to programs; ensure compliance with local regulations and insurance requirements. * Drive business ... * Certifications: PSP, CPP, CHPA, or CEM. * Regulatory exposure: SOX, FFIEC, FINRA , GDPR, CCPA. Position ID: 2819 \#LI-Hybrid *Pay Transparency Notice:* Depending on… more
- MUFG (Tampa, FL)
- …and project deliverables across the organization. **Major Responsibilities:** + Maintain compliance with audit methodology, while also operating within industry best ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- PNC (FL)
- …As part of the first line of defense, supports risk management, compliance , and audit needs. + Drives business, financial, and customer experience results ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- US Bank (Jacksonville, FL)
- …the terms of the SAFE Act of 2008 and Regulation Z and ongoing compliance with all legal or regulatory registration requirements, including, but not limited to ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- PNC (Fort Lauderdale, FL)
- …relevant information for accuracy. Performs common processing and ensures compliance with standard regulations and processes. May administer complex implementation ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- PNC (Miami, FL)
- …and sound decision making to mitigate sales practice risk. Ensures compliance with regulatory guidelines and adherence to established policies and procedures. ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more