- MUFG (Tampa, FL)
- …to identify deterioration or negative management control trends and review compliance with policies, guidelines, and regulations. + Prepare periodic Risk Profile ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- PNC (FL)
- …reports on performance to leadership. + Participates in establishing and ensuring compliance with internal policies and procedures and risk controls. + Manages ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- JPMorgan Chase (Jupiter, FL)
- …Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) + ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more
- MUFG (Tampa, FL)
- …accordance with the credit agreement, minimizing operational risks and losses, and ensuring compliance with all bank policies and procedures * Act as main point of ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- MUFG (Tampa, FL)
- …in the financial services industry. + Knowledge and experience with regulatory compliance . **Working Knowledge** + Zscaler Secure Access Service Edge (SASE) + ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- MUFG (Tampa, FL)
- …in the financial services industry. + Knowledge and experience of regulatory compliance . Working Knowledge + Zscaler Secure Access Service Edge (SASE) + Firewalls, ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- MUFG (Tampa, FL)
- …and full communication with the operations and support. + Ensure compliance with technical best practices, standards and policies. + Gather/document business ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more