- Citigroup (Miami, FL)
- …loop process. + Ensures customer claims and complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and other compliance norms ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and skills obtained through education and to conduct comprehensive operational, compliance , and financial audits for Raymond James Internal Audit's Wealth Management ... Propose audit objectives, scope, procedures and internal control reviews to ensure compliance with policies and regulations. + Lead audit engagements from the… more
- PNC (Orlando, FL)
- …a broad range of eco-system partners. Accountable for risk management and compliance . Builds a high performing team through the attraction, on-boarding, coaching ... and sound decision making to mitigate sales practice risk. Ensures compliance with regulatory guidelines and adherence to established policies and procedures.… more
- ADP (West Palm Beach, FL)
- …Qualifications_ + Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority ( FINRA ) Series 6 and 63 licensing is a plus; candidates with great ... and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the...conducting business with the highest ethical standards and full compliance with all applicable laws. We also expect our… more
- MUFG (Tampa, FL)
- …all lines of business (Global Corporate & Investment Banking, Finance, Risk, Compliance , Chief Data Office, Information Technology), Product Owners, and Data owners. ... loans, deposits, trade finance, markets, investment banking, transaction banking, payments, compliance in the banking or financial services industries. + Hands-on… more
- MUFG (Tampa, FL)
- …all lines of business (Global Corporate & Investment Banking, Finance, Risk, Compliance , Chief Data Office, Information Technology), Product Owners, and Data owners. ... of data systems. + Collaborate on Data Strategy and Solutions + Ensure compliance with data privacy and security regulations, employing best practices for data… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …with senior leadership, risk management, finance, and IT to ensure compliance , optimize capital structure, and support the bank's financial resilience **Essential ... reports (eg, FFIEC) and board-level reports, ensuring accuracy, timeliness, and compliance . + Provide oversight of financial reporting processes, including review… more
- Raymond James Financial, Inc. (Tampa, FL)
- …publication. + Acts as a liaison for all projects with the Marketing and Compliance Depts to develop marketing concepts that align with business strategy and brand ... of** + Company's working structure, policies, mission, strategies and compliance guidelines. + Advanced investment concepts, practices and procedures used… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …wealth management professionals, and distribution partners. + Ensure regulatory compliance and fiduciary alignment with industry standards, including SEC, ... FINRA , and other governing bodies. + Lead marketing and...+ Regulatory landscape governing the asset management business, including compliance and fiduciary requirements. + Business strategy, corporate finance,… more
- MUFG (Tampa, FL)
- …UAT testing; (f)Quality Control and Customer Service; (g) US compliance regulation checks/screening/data entry; and (h) acceptances/payments, Reimbursement claims. ... members, setting priorities, time limits and critical task objectives. **Perform compliance checks/screening** for OFAC, EAR, Anti-boycott, BSA AML and JFEL… more