- Deloitte (Miami, FL)
- …staff The Team Our Regulatory & Financial Risk offering supports clients' regulatory and compliance needs, balancing risk and regulatory requirements ... documents, detailed project planning, process and data mapping, defining key risks, testing , status monitoring , problem tracking and resolution + Experience… more
- TD Bank (Jacksonville, FL)
- …procedures, and expectations or non- compliance with key laws and regulatory requirements. Testing teams implement consistent and standardized testing ... for testing all Bank programs that aim to facilitate compliance with anti-money laundering, anti-terrorist financing, anti-bribery and corruption, and sanctions… more
- TD Bank (Jacksonville, FL)
- …procedures, and expectations or non- compliance with key laws and regulatory requirements. Testing teams implement consistent and standardized testing ... for testing all Bank programs that aim to facilitate compliance with anti-money laundering, anti-terrorist financing, Anti-Bribery and corruption, and sanctions… more
- Citigroup (Tampa, FL)
- …activities. + Experience in planning, executing, and reporting on compliance testing or monitoring reviews and regulatory issue validation activities. ... Compliance Independent Assessment Sr. Analyst performs risk-based testing and monitoring of Citi's compliance...the planning, executing, and reporting of compliance monitoring and compliance and regulatory … more
- JPMorgan Chase (Tampa, FL)
- …including those identified as a result of Compliance testing , monitoring , Audits or Exams. + Analyze regulatory initiatives affecting the business and ... training to ensure inclusion of necessary state, federal and regulatory compliance requirements as well as providing...will need to identify, measure, and manage controls and compliance -related risks while monitoring and testing… more
- American Express (Sunrise, FL)
- …the Business Unit Compliance Assessments (BUCA), Key Risk Indicators (KRIs) and Regulatory Business Self Testing (RBST). + Drive implementation of policy and ... risk management oversight to promote safe and scalable marketing and innovation by monitoring the overall effectiveness of the business compliance program via … more
- Coinbase (Tallahassee, FL)
- … Compliance team is essential in ensuring that our global CX Compliance Operations function efficiently, comply with regulatory requirements, and consistently ... Additionally, you will be proactively detecting emerging risks, optimizing compliance processes, and testing new tools and...or the tech industry, with a focus on TMS/EDD compliance investigations, or regulatory matters. * Strong… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …associates' work + Researching regulatory and compliance topics + Conducting compliance testing and monitoring + Developing compliance training ... and Responsibilities** + Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are... requirements. + Ability to manage and perform risk-based compliance testing . + Ability to determine matters… more
- Arena Investors LP (Jacksonville, FL)
- …policies and procedures; . Administration of firm (Investment Adviser and Broker-Dealer) annual compliance review ( testing and monitoring ); . Conflicts of ... middle and back-office personnel on a wide variety of regulatory compliance issues primarily in compliance.... Support the CCO with FINRA broker-dealer requirements; . Monitoring of Client guidelines and restrictions; . Review of… more
- American Express (Sunrise, FL)
- … compliance program elements including: - Compliance Risk Assessments (CRAs) - Monitoring and Testing - Training and Awareness - Policies and Procedures - ... assessments, or procedure development - Understanding of tech-enabled risk tools and compliance monitoring systems **Skills & Competencies:** - Strong critical… more