- PNC (FL)
- …Organization supporting the Risk, Change, Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may be ... opportunity to contribute to the company's success. As a Compliance Program Advisor , you will be within...will also be responsible for the following: - Coordinating regulatory compliance efforts for PNC's organizations, planning,… 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...to ensure content remains current, relevant and aligned with regulatory expectations and company values. + Manages version control,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and regulatory processes to provide early identification of potential compliance problems. + Assists in researching registration issues. + Reports registration ... of the organization. + Increase knowledge of FINRA, state and other regulatory agency rules and regulations regarding financial advisor registration.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …regulations and limit firm liability. Conduct internal reviews to ensure compliance with regulatory requirements and internal policies including potential ... **Job Summary:** Raymond James is hiring a Supervision Senior Advisor to review and analyze account disclosures and transaction...+ Reviews requests for Outside Brokerage Accounts to ensure compliance with firm policy and regulatory rules… more
- PNC (Jacksonville, FL)
- …or implementing new/enhanced processes in order to ensure timely and effective compliance with new regulatory requirements. + Support key business initiatives ... needed to be successful in this position. **Preferred Skills** Compliance Reporting, Customer Risk, Decision Making, Regulatory Requirements,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …regulations, thereby limiting firm liability. Conduct internal reviews to ensure compliance with regulatory requirements and internal policies, including ... and databases. + Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. + Detail orientation to ensure… more
- Truist (Tampa, FL)
- …for clients, their attorneys and CPAs. * Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing ... review the following job description:** Serve as primary relationship advisor for high net worth and ultra-high net worth...audit, compliance and regulatory framework in order to ensure a high quality,… more
- First Horizon Bank (Miami Lakes, FL)
- …+ understand and identify the full range of risks related to processes, regulatory compliance , organization, policy, and technology; + evaluate control design ... the design and effectiveness of internal controls, risk management practices, and regulatory compliance associated with Treasury and enterprise risk functions. +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and databases. + Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. + Detail orientation to ensure ... managers through the use of various reports and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and platform… more
- JPMorgan Chase (Jacksonville, FL)
- Join our dynamic and high-energy team as a Consumer Direct Home Lending Advisor at Chase Home Lending. Leverage your exceptional knowledge and understanding of home ... this area of specialization. You will adhere to all regulatory requirements while marketing and promoting the financial products...on our business. As a Consumer Direct Home Lending Advisor within Chase Home Lending, you will guide clients… more