- Raymond James Financial, Inc. (St. Petersburg, FL)
- …experience, specialized training, and/or certification in project management, information compliance risk management, and the securities and/or banking industry to ... support Information Compliance Risk Management's (ICRM) people, processes, technology initiatives, and routine activities through effective collaboration with… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …education, experience, specialized training and/or certification to serve as the compliance partner for the Global Wealth Solutions ("GWS") business line, ... to business partners, designing, implementing, and overseeing a comprehensive compliance program, and surfacing relevant information to aid in risk-based… more
- Zoom (Tallahassee, FL)
- What you can expect As a Group Product Manager for Financial Services & Compliance , you will lead strategy and execution for Zoom's product offerings tailored to the ... not only customer-centric innovation but also adherence to regulatory standards (eg, FINRA , SEC, GDPR, data retention, archiving). You will maintain compliance … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …associates, budget, reporting structure, and division of responsibilities within Compliance department. + Oversees the privacy impact assessments (PIAs), data ... subject requests (DSRs), privacy regulatory control framework, and core compliance pillar activities to identify, assess, mitigate and monitor data privacy risks. +… more
- Capco, a Wipro Company (Orlando, FL)
- …improvement and value beyond cost efficiency. **About the Job:** The Junior Compliance Analyst will participate in compliance and operations monitoring, ... governance, oversight, and regulatory reporting activities in coordination with compliance and internal control teams. The role of the Junior Compliance Analyst… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …assess privacy-related risk with business partners to identify and address privacy-related compliance gaps or areas of privacy risk in support of business ... + Concepts, practices, and procedures of securities industry and/or banking compliance . + Rules and regulations of: Securities Exchange Commission (SEC); Financial… more
- Wells Fargo (Miami, FL)
- …in Spanish is a plus but not required **Job Expectations:** + Registration for FINRA Security Industry Essentials (SIE) must be completed within 90 days of hire date ... if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 63 (or 66) must be completed within… more
- MUFG (Tampa, FL)
- …deeper understanding of data & reporting needs for Financial Crimes, Compliance , Wholesales Lending, Investment Banking and Transaction Banking businesses. + Develop ... Must have experience in one or more domains including Financial Crimes, Compliance , Payments, Risk Reporting, Regulatory Reporting, GL and Customer & Product… more
- Insight Global (Tampa, FL)
- …investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and investment advisory organizations. ... complies with states and federal laws, state insurance regulations, FINRA and SEC rules and regulations, and internal company.... Skills and Requirements -3 years of experience within compliance in a financial environment -Series 7 & 24… more
- Santander US (Miami, FL)
- …and risk assessment. Ability to drive innovation and continuous improvement in compliance processes. _Key Competencies:_ FINRA Series 99 mandatory or Series ... part of the Global Markets leadership team. Work closely with CIB Business Lines, Compliance , Legal, Risk, Technology, and CLM teams to ensure a unified approach to… more