- Santander US (Miami, FL)
- …fully compliant with US regulations (mainly CFTC and CME), Legal requirements, and Compliance and Tax policies. + Effective execution of controls around the ETDs ... team. + Liaise with internal / external auditors, and regulators to ensure compliance with regulatory requirements + Quality assurance on processes and new systems… more
- MUFG (Tampa, FL)
- …This position also involves ensuring data integrity and financial governance compliance , supporting Corporate Finance, Front Office business partners, and Risk & ... reporting, and procedure documentation to enhance internal controls. + Risk, Compliance & Financial Governance - Maintain familiarity with data governance policies… more
- Citigroup (Plantation, FL)
- …referral leads. + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure 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...to work without direction + US: Current Registration for FINRA series 6, 63, and 65 are required for… more
- First Horizon Bank (Orlando, FL)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... expense and operational efficiency **QUALIFICATIONS** + Bachelor's Degree Required. + FINRA : Maintains proper licenses including Series 7, Series 66, the Securities… more
- MUFG (Tampa, FL)
- …regular security assessments and audits to ensure SASE configurations meet compliance and security standards along with best practice implementation. **Policy & ... Compliance :** + Develop and enforce security policies, procedures, and...background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …independently with advisors and branch managers and recommend actions to ensure compliance with existing rules and regulations as well as prevent potential ... methods. * Concepts, practices and procedures of securities industry and/or banking compliance , including suitability and other compliance issues involved with… more
- MUFG (Tampa, FL)
- …team will provide more details. **Job Overview:** As a part of Compliance Technology, the SAS AML Technical Developer will support multiple business lines ... designs, conduct testing and demonstrate products. + Proactive communication of compliance application changes to Operations & Technology and business stakeholders +… more
- MUFG (Tampa, FL)
- …you will play a pivotal role in ensuring the efficiency, accuracy, and compliance of our operational processes. You will be responsible for driving adherence to ... + Drive engagement with KPI, control testing, internal, external audit and compliance teams. + Monitor and escalate program risks affecting project delivery. +… more
- MUFG (Tampa, FL)
- …of our recruitment team will provide more details. **Job Summary:** Within Compliance PMO, the Technical Project Manager is responsible for successfully supporting ... Enablement Technology with a focus on Software Development Lifecycle and Compliance . Analyze parameters including costs, timelines, technical functions, benefits and… more
- USAA (Tampa, FL)
- …to maximize effectiveness of member acquisition and relationship efforts. Maintains compliance with policies, procedures, and regulatory requirements We offer a ... In conjunction and coordination with Securities Counsel and Securities Compliance , provides research and documentation support for use in...an existing license and a business need, maintenance of FINRA Series 7, 66 (or 63 and 65), 24,… more