- Raymond James Financial, Inc. (Tampa, FL)
- …publication. + Acts as a liaison for all projects with the Marketing and Compliance Depts to develop marketing concepts that align with business strategy and brand ... of** + Company's working structure, policies, mission, strategies and compliance guidelines. + Advanced investment concepts, practices and procedures used… more
- Citigroup (Tampa, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... optimizing management of systems supporting global functions such as Compliance , Controls, Internal Audit and Risk, and introducing innovative technologies… more
- Citigroup (Tampa, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... cleaner reconciliations. GTPL will continue enabling several global functions like Compliance , Risk including BASEL, Tax and Regulatory Reporting and firm-wide… more
- Citigroup (Jacksonville, FL)
- …related to banking and /or investment operations - including placing unsolicited securities trades (Series 7 & 63 required). + Ensures customer claims and ... and firm policy. + Ensures that KYC/AML and other compliance norms are strictly adhered to. + Builds a...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- Citigroup (Jacksonville, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- MUFG (Tampa, FL)
- …UAT testing; (f)Quality Control and Customer Service; (g) US compliance regulation checks/screening/data entry; and (h) acceptances/payments, Reimbursement claims. ... members, setting priorities, time limits and critical task objectives. **Perform compliance checks/screening** for OFAC, EAR, Anti-boycott, BSA AML and JFEL… more
- MUFG (Tampa, FL)
- …of inherent, control, and residual risks. **Primary Responsibilities:** **Regulatory and Compliance ** + Maintain a high degree of knowledge with current and ... controls; and identifying issues resulting from internal and/or external compliance examinations especially in cloud environments. + **Cloud Security:** In-depth… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Management, Divisional Directors, financial advisors, operations, and legal and compliance to research, analyze and resolve business problems/opportunities. + ... and requirements gathering. + Broader principles of banking and finance and securities industry operations. + Experience with Salesforce is preferred. + Familiarity… more
- MUFG (Tampa, FL)
- …various line-of-business, risk function SMEs across the firm (For example: Compliance , Business Continuity, Information Security) and third-party contacts to drive ... experience in third-party risk management highly desirable. Additional experience in bank compliance , audit, risk, legal or related positions. + Strong analytical or… more
- MUFG (Tampa, FL)
- …and evolve to newer technology stacks and architecture. Security and Compliance : Implement and enforce security best practices for Data Integration Platforms ... with 'Secure by Design' principles. Ensure compliance with relevant regulations and internal policies through proper...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more