- 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
- MUFG (Tampa, FL)
- …Control and Customer Service; (4) Staff and Performance Management (5) Compliance policies and procedures. (6) Special projects (7) Provide Operational /Technical ... the Executive Management. Ensure all default, principal and interest draws are in compliance with the LC terms and conditions and comply with the internal procedures… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Accounts to ensure compliance with firm policy and regulatory rules (eg, FINRA 3210). + Liaise with employees and certain broker-dealers to ensure completion of ... regulations and limit firm liability. Conduct internal reviews to ensure compliance with regulatory requirements and internal policies including potential conflicts… more
- MUFG (Tampa, FL)
- …section's output reports, records and files. Ensure all standard operational and compliance procedures are updated and enforced. Provide timely support to new ... conditions and offer opinions and comments consistent with the internal/operating/ Compliance procedures. Respond to inquiries received from front/middle offices,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …thereby limiting firm liability. Conduct internal reviews to ensure compliance with regulatory requirements and internal policies, including potential conflicts ... of interest. Assess and report on compliance risks, investigate incidents and take action...to ensure completion of policy driven requirements related to FINRA Rule 3210 including account certifications, disclosure, and ongoing… more
- MUFG (Tampa, FL)
- …the Executive Management. Ensure all default, principal and interest draws are in compliance with the LC terms and conditions and comply with the internal procedures ... and compliance requirements. + **Quality Control and Customer Service** :...background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major… more
- MUFG (Tampa, FL)
- …between enterprise and application teams. . Integrate regulatory and compliance requirements into control specifications. . Perform risk assessments on ... that may introduce risk or fail to meet evolving threat and compliance landscapes. . Recommend compensating controls or alternative design strategies where… more
- MUFG (Tampa, FL)
- …with various stakeholders to gather requirements, define patterns, and ensure compliance with governance standards. The specialist will also be responsible for ... + Implement and manage DSPM tools to enhance data protection and compliance with regulatory requirements + Collaborate with various stakeholders to ensure the… more
- MUFG (Tampa, FL)
- …for ServiceNow platform and ServiceNow Vulnerability Response and Configuration Compliance **Major Responsibilities** + Responsible for the development and sustained ... testing and support of ServiceNow Vulnerability Response and Configuration Compliance capabilities. + Design, implement and support runbooks Vulnerability Response… more
- MUFG (Tampa, FL)
- …Documentary Collections- Incoming and Outgoing/ Checks (b) US compliance regulation checks/screening/data entry; and (c) acceptances/payments, Reimbursement claims. ... against courier log. Handle Documentary LC documents as well. **Perform compliance checks/screening** for OFAC, EAR, Anti-boycott, BSA AML and JFEL (Japanese… more