- JPMorgan Chase (Aventura, FL)
- …degree, GED, or foreign equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 ... within established risk parameters/tolerances and meets internal/external risk and compliance obligations, including completion of required training + Excellent… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …administer and analyze various communication reviews and content to ensure compliance with regulatory expectations and firm policies and procedures. Escalates and ... units. + May participate in the formation of policies related to compliance . + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and… more
- First Horizon Bank (Orlando, FL)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... + FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance… more
- HSBC (Miami, FL)
- …clients such as WRMs (Wealth Relationship Managers), Wealth Operations staff, Compliance and Sales Management. Responsible for receiving and executing domestic and ... international securities orders and providing high quality information and brokerage...matters and reports + Support Sales Management and Regulatory Compliance + Respond to regulatory inquiries as needed +… more
- NextEra Energy (Juno Beach, FL)
- …corporate governance and securities law. This role will also support our Compliance & Responsibility Organization and, as needed, provide back up support to the ... selection process for qualified individuals, including accommodations related to compliance with conditional job offer requirements, consistent with federal, state,… more
- MUFG (Tampa, FL)
- …regular security assessments and audits to ensure SASE configurations meet compliance and security standards along with best practice implementation. **Policy & ... Compliance :** + Develop and enforce security policies, procedures, and...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- MUFG (Tampa, FL)
- …team will provide more details. **Job Overview:** As a part of Compliance Technology, the SAS AML Technical Developer will support multiple business lines ... designs, conduct testing and demonstrate products. + Proactive communication of compliance application changes to Operations & Technology and business stakeholders +… more
- MUFG (Tampa, FL)
- …you will play a pivotal role in ensuring the efficiency, accuracy, and compliance of our operational processes. You will be responsible for driving adherence to ... + Drive engagement with KPI, control testing, internal, external audit and compliance teams. + Monitor and escalate program risks affecting project delivery. +… more
- MUFG (Tampa, FL)
- …of our recruitment team will provide more details. **Job Summary:** Within Compliance PMO, the Technical Project Manager is responsible for successfully supporting ... Enablement Technology with a focus on Software Development Lifecycle and Compliance . Analyze parameters including costs, timelines, technical functions, benefits and… more
- Cardinal Health (Tallahassee, FL)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... and their teams, other members of the Legal & Compliance organization, and the privacy professionals working within the...Develop and deploy privacy policies and procedures to ensure compliance with applicable data privacy laws and regulations +… more