- Raymond James Financial, Inc. (St. Petersburg, FL)
- …continuing education and training programs for the department in conjunction with management . + Schedules and oversees compliance processes including scheduling, ... **Essential Duties and Responsibilities** + Oversees compliance exception reporting processes and approves corrective actions. + May coach, train, and mentor others … more
- Truist (Tampa, FL)
- …non-discretionary investment , portfolios. 8. Adhere to (and document) risk management and compliance with all relevant regulatory policies and procedures. ... America) **Please review the following job description:** The Reserve Investment Manager 2 (IM) is responsible for...is responsible for partnering with Wealth Advisors to deliver Investment Management Services to new High Net… more
- Truist (Fort Lauderdale, FL)
- …and the Investment Advisory Group (IAG) to assist in the delivery of Investment Management Services to clients in Truist Wealth who generally have $5mm+ in ... for investment communication. The IA assists the Investment Manager in acquiring prospective clients through...oral and written communication skills. + 2+ years of investment management / trading or related experience.… more
- Citigroup (Jacksonville, FL)
- …to Know-Your-Customer (KYC) and Anti-Money Laundering (AML) procedures for Citi's Investment and/or Banking clients. Position is responsible for providing best in ... class service on Banking and/or Investment inquiries, and ensuring risk is prudently managed. **Responsibilities:**...and firm policy. + Ensures that KYC/AML and other compliance norms are strictly adhered to. + Builds a… more
- JPMorgan Chase (Tampa, FL)
- …enhance compliance , and build strong relationships with senior stakeholders. As a ** Compliance and Operations Risk Test Manager ** in the Testing Center of ... evaluation will be instrumental in identifying and mitigating risks, thereby enhancing compliance and operational risk management . Additionally, your aptitude in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … reporting. + May report compliance program status and activities to Compliance management . + Performs, contributes and manages periodic testing of the ... the level of risk being mitigated. + Informs Senior Compliance Management about issues that may involve...(OTS); Federal Reserve System; state banking regulatory agencies. + Investment concepts, practices and procedures used in the securities… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …content for applicable coverage areas. + Maintains RJ Bank's sound compliance management system standards while fostering positive business relationships ... Ability to determine matters requiring escalation to RJ Bank compliance management and ability to do so...regulations is beneficial but not required + Knowledge of Investment concepts, practices and procedures used in the securities… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …a minimum of eight (8) years of experience in the financial services industry, compliance , or risk management . ~or~ + Any equivalent combination of experience, ... adhere to all regulatory requirements. + Performs human resources management activities including identifying performance problems, seeking guidance for remedial… more
- Lee County Board of County Commissioners (Fort Myers, FL)
- …and implement training programs and Standard Operating Procedures (SOPs). + Contract & Compliance Management : Review vendor contracts to ensure compliance ... Manager , Facilities Construction and Management Operations...government projects. + Familiarity with public procurement and contract compliance . + Proficiency in project management and… more
- TECO Energy (Tampa, FL)
- Title: ** Manager , Asset Management - Distribution** Company: **Tampa Electric Company** Location: **Energy Control Center** State and City: **Florida** - ... Manager : **Patrick L Shell** Recruiter: **Mark E Koener** TITLE: Manager , Asset Management Distribution PERFORMANCE COACH: Director Asset Management… more