- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal ... (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; state banking regulatory agencies. + Investment concepts, practices and procedures used in the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …findings & reports to various lines leadership. Reports are also used for regulatory purposes. Some of the main responsibilities include: + Acting as a point ... the Operations division, including (but not limited to): audit support, regulatory inquiries & exams, risk & control self-assessments, remediations, risk council.… more
- University of Miami (Miami, FL)
- …to care and establish best practices. + Oversees compliance with regulatory agencies and professional organizational standards. + Oversees, mentors, trains, ... participate in continuous quality improvement and ensure compliance with all regulatory requirements while supporting the health systems and Sylvester's mission,… more
- HCA Healthcare (Coral Springs, FL)
- …will also follow and enforce policies and procedures, quality assurance and regulatory compliance in conjunction with the Pharmacist in Charge (PIC) and/or ... vision and values of the hospital, comply with all regulatory standards and work with the Director of Pharmacy...identify and develop processes to meet or exceed all regulatory standards. + Work with or under supervision of… more
- TD Bank (Jacksonville, FL)
- …assessing, and mitigating financial crime risks, ensuring compliance with regulatory requirements, and providing expert recommendations on complex matters. This ... of customer behavior and activity of concern, in compliance with KYC policy and regulatory requirements. The team engages with the 1st line of defense on the… more
- Citigroup (Tampa, FL)
- …the Controllers Organization that will report up through the Global Head of Regulatory and Capital Reporting. The individual will support the production needs and ... of reports for Basel RWA Reporting based on US Regulatory requirements. + Support subject matter experts on the...perform analysis of the RWA results; support respond to regulatory requests and line of business queries. + Support… more
- TD Bank (Fort Lauderdale, FL)
- …corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements + Supports team in staying knowledgeable on emerging issues, ... trends and evolving regulatory requirements and assesses potential impacts to the Bank...and/or control functions to ensure alignment with enterprise and/or regulatory requirements + Leads or contributes to cross-functional/enterprise initiatives… more
- USAA (Tampa, FL)
- …maximize the ability to manage risk in an environment shaped by regulatory change and disruptive, emerging technologies. Ensures effective and appropriate policies, ... + Liaises with Compliance and CLO on legal & regulatory considerations that impact business operations and product offerings...processes and procedures while factoring in all legal & regulatory requirements. + Assists in interactions and briefs on… more
- Santander US (Miami, FL)
- …Represents or supports the reputation of the company to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company and legal ... necessary rules and regulations, and that the company complies with legal/ regulatory statutes and jurisdictions. S/He is responsible for liasing with… more
- Citigroup (Tampa, FL)
- …ensure adequate coordination on practices and procedures from a legal and regulatory perspective. Reporting directly to the Legal Group Manager for Client Solutions ... industry standards, widely accepted business practices, laws, rules, and regulatory guidelines, escalating as appropriate + Collaborates across internal lines… more