- Raymond James Financial, Inc. (St. Petersburg, FL)
- …education, experience, specialized training and/or certification to serve as the compliance partner for the Global Wealth Solutions ("GWS") business line, ... packaged products including annuities/insurance, mutual funds, 529 plans, unit investment trusts, and exchange traded products. Provides regulatory and policy-driven… more
- JPMorgan Chase (Tampa, FL)
- …lead and innovate, ensuring our operations align with strategic goals. As a ** Compliance and Operations Risk Test Senior Lead** in the Testing Center of Excellence, ... you will play a pivotal role in enhancing our compliance and operational risk management. You will be responsible... Testing is preferred. + Knowledge of Commercial & Investment Bank Payments products is preferred. + Experience in… more
- JPMorgan Chase (Tampa, FL)
- Bring your expertise to JPMorgan Chase. As a part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help ... customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking,… more
- HUB International (Winter Park, FL)
- …array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. With over 17,000 employees ... is responsible for day to day internal and external customer support providing compliance research, writing, and guidance to address client needs. The Compliance … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …experience, specialized training and/or certification in securities or banking industry compliance to assist in administering and managing an assigned compliance ... **Essential Duties and Responsibilities** + Assists the Capital Markets Fixed Income Compliance team with managing their core compliance program to ensure… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Duties and Responsibilities** + Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed, including: + Insider ... Lending Program + Transactions with Affiliates Program + Manages the Compliance training by collaborating with RJF Compliance and the Organization Training and… more
- Scotiabank (Tampa, FL)
- Director, US Bank Regulatory Compliance , Global Transaction Banking **Requisition ID:** 222945 **Salary Range:** 153,000.00 - 256,275.00 _Please note that the Salary ... to results, in an inclusive and high-performing culture. **Director - US Regulatory Compliance Officer - Global Banking & Markets - Tampa, FL** **Global Transaction… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Manages the preparation, consolidation and delivery of monthly and quarterly Compliance reports for senior leaders. + Collaborates with cross-functional teams to ... gather, validate and analyze Compliance data to ensure accuracy and completeness. + Develops...+ Effective reporting and communicating complex information. + Fundamental investment concepts, practices and procedures used in the securities… more
- JPMorgan Chase (Tampa, FL)
- …the Asset Management business. As a Senior Test Lead within the Global Asset Compliance and Ops Risk Testing Center of Excellence (CoE), you will be responsible for ... to the Testing CoE's overall success and strengthen the firm's compliance with regulatory obligations and industry standards. **Job responsibilities** + Lead… more
- Regions Bank (The Villages, FL)
- … performance and relationship reviews + Keeps junior level staff informed about investment products and opportunities + Adheres to compliance requirements and ... Financial Advisor experience. **Primary Responsibilities** + Provides a broad range of investment solutions and products to help meet customer goals and offer… more