- Coinbase (Tallahassee, FL)
- …Partner with Security and Trust & Risk to respond to privacy incidents, regulatory inquiries, law enforcement demands, and other information requests. * Oversee the ... laws specific to financial institutions (eg GLBA) and the global financial regulatory frameworks (eg AML/KYC compliance, PSD2). * CIPP or similar certification(s) *… more
- MUFG (Tampa, FL)
- …Section's operations. Ensure the Staff receives proper training. in all regulatory and bank compliance issues. Enforce applicable internal policies and procedures ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major… more
- MUFG (Tampa, FL)
- …hands-on experience creating and evaluating comprehensive processes in a regulatory environment * Experience in the financial services industry preferred ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major… more
- MUFG (Tampa, FL)
- …to program reviews and governance forums. + Support RCSA reviews and oversee regulatory compliance. + Maintain a structured and logical approach to work. + Utilize ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major… more
- JPMorgan Chase (Miami, FL)
- …the platform and drive resolution of mitigating controls + Support audit, regulatory and compliance deliverables; help drive specific action plans and deliverables ... within the Risk Control Self-Assessment (RCSA) framework + Coordinate team activities and prepare materials for town halls, employee recognition, and strategy working sessions + Collect and maintain internal resources and documentation on collaboration sites,… more
- JPMorgan Chase (Tampa, FL)
- …client's compliance with risk policies/practices and educates clients on new legal / regulatory /cyber changes + Works with the client product utilization as a ... solution to meet business objectives + Applies sound judgment during the decision making process; evaluates risk factors **Required qualifications, capabilities, and skills:** + Fluent in Spanish, written/verbal + Willingness to travel international (1-3 times… more
- Ankura (FL)
- …and provide testimony in a wide variety of venues, including specialized regulatory boards. Advisory Services: Our clients seek identification of risks and ... practical, experienced, and actionable mitigation tactics associated with their capital projects. We provide sophisticated advice on some of the world's most complex and largest capital projects, analyzing prospective and in-process development as well as… more
- MUFG (Tampa, FL)
- …not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major ... responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …out to the required quality standards and/or to ensure adherence to external regulatory codes and internal codes of conduct. + Develop and maintain excellent ... procedural or technical skills by participating in assessment and development planning activities as well as formal and informal training and coaching. **Knowledge of:** + Compliance, with an eye for situations that could present risk to the firm. **Skills:**… more
- Wells Fargo (St. Petersburg, FL)
- …all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable ... Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk… more