- Raymond James Financial, Inc. (St. Petersburg, FL)
- …documentation standards, templates, and procedures to ensure consistency and compliance . + Monitor regulatory changes and ensure documentation practices align ... Skills:** + Strong understanding of internal controls, risk management, and regulatory compliance in a brokerage or financial services environment. + Proven ability… more
- Citigroup (Jacksonville, FL)
- …& 63 required). + Ensures customer claims and complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and other compliance norms ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...Office (Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition, Series… more
- MUFG (Tampa, FL)
- …to in the execution of the program throughout the full TPRM Lifecycle. + Compliance with applicable rules and guidance impacting the TPRM program including OCC, FBR, ... FDIC, SEC, FFIEC, FINRA ; in addition to other US regulators (eg, NY...+ Provide oversight for outsourced TPM activities - ensuring compliance with expected performance and contractual terms and SLAs.… more
- Citigroup (Jacksonville, FL)
- …& 63 required). + Ensures customer claims and complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and other compliance norms ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...Office (Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition, Series… more
- Truist (Winter Park, FL)
- …who will enhance business development efforts. 7. Work within existing audit, compliance and regulatory framework in order to ensure a high quality, compliant ... market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65...obtained within 100-150 days of job entry date. Active FINRA licenses must be transferred within 60 days of… more
- USAA (Tampa, FL)
- …effectively identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures. **What you have:** + High School Diploma ... to acquire within 90 days of hire. + Required maintenance of FINRA Series 7 license. + Required maintenance of FINRA Series 66 (or 63 and 65) license. + Must be… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …both internal clients and functional area representatives including legal, compliance , supervision, operations, and AML. **Essential Duties and Responsibilities:** + ... and coordinate Anti-Money Laundering issues and projects as needed. + Assist with FINRA regulatory filing 5130 and documenting exemptions as applicable. + Work with… more
- PNC (Tampa, FL)
- …Update AML and Sanctions policies and procedures as needed. Ensure that Compliance Manuals, Front Office Manuals, policies and procedures accurately reflect current ... (from a leadership position) to the business. Coordinate AML and Sanctions compliance monitoring and oversee preparation of compliance reports. May serve… more
- MUFG (Tampa, FL)
- …to: 1) OFAC, Japanese Foreign Exchange Law (JMOF), BSA/AML, and various other Compliance related matters as they pertain to the business conducted by the Money ... 4) Management Reporting functions. **Responsibilities:** _Ensure MTD's adherence to MUFG's Compliance Policies_ : + Monitor and process all manual review… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …team on regulatory matters to ensure representative, branch and firm remain in compliance with firm and industry regulations. Assists in identifying risk related to ... for registration efforts. + Partners with other groups within Compliance to ensure delivery of a cohesive output. +...all levels of the organization. + Increase knowledge of FINRA , state and other regulatory agency rules and regulations… more