- MUFG (Tampa, FL)
- …and solutions are secure by design. + Conducting continuous vulnerability and compliance validation to ensure ongoing adherence to security policies and regulations. ... cloud security services specialized in Threat Detection, Encryption, Data Protection, Compliance , privilege access management etc. + Deep understanding of cloud… more
- Deloitte (Miami, FL)
- …and recommendations and manage day-to-day stakeholder relationships + Demonstrate appropriate compliance and control of capital and liquidity risk + Implement ... Regulatory & Financial Risk offering supports clients' regulatory and compliance needs, balancing risk and regulatory requirements with enhancing...including the FRB, the CFPB, the OCC, the CFTC, FINRA , and the SEC The wage range for this… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …frameworks tailored to fiduciary operations, ensuring audit readiness and regulatory compliance . + Remain up to date with current accounting pronouncements that ... over accounting matters to operational support groups to ensure compliance with accounting policies. + Direct tax compliance...or ability to obtain within 120 days (as required by FINRA ), may be required depending on assigned functional… more
- MUFG (Tampa, FL)
- …Serve as a trusted partner to business, operations, development, risk and compliance teams providing database security subject matter expert (SME) guidance and ... a database activity monitoring (DAM) platform for security and audit compliance , including policy creation, event and trend analysis, performance monitoring and… more
- MUFG (Tampa, FL)
- …practice and negotiation of wording to mitigate operational, reputational and compliance risks. Ensure proper reconciliation of all GL accounts including posting ... for overseeing Trade Services Operations, including working with Risk, Audit and Compliance . Requires the ability to identify and remediate gaps and recommend areas… more
- JPMorgan Chase (Jacksonville Beach, FL)
- …if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life ... completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High...continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator… more
- JPMorgan Chase (Coconut Creek, FL)
- …within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. + High school ... degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses… more
- JPMorgan Chase (Tampa, FL)
- …and act as a liaison for issue resolution. Review and resolve compliance surveillance inquiries + Provide principal approval for brokerage trade corrections. Review ... for appropriate resolution + Act as liaison for annual compliance branch exam. Work with Market Manager to address...to perform all job duties associated with the role: FINRA SIE, Series 7, 66 (63/65), 9/10 (4,24,53) +… more
- JPMorgan Chase (Sunrise, FL)
- …equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life ... within established risk parameters/tolerances and meets internal/external risk and compliance obligations, including completion of required training + Excellent… more
- JPMorgan Chase (Winter Springs, FL)
- …within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. + High school ... degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses… more