- 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
- Citigroup (Jacksonville, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... risk mitigation options. + Requires awareness of audit and compliance related issues + Acts as advisor or coach...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- Citigroup (Fort Lauderdale, 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
- Citigroup (Tampa, FL)
- …order management system utilized for capture, enrichment, and routing of all Securities Services related FX orders across Citi's unrivaled custody network. The ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Truist (Fort Myers, FL)
- …who will enhance business development efforts. 7. Work within existing audit, compliance and regulatory framework in order to ensure a high quality, compliant ... and traditional retail bank products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu… 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 ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Lincoln Financial (Tallahassee, FL)
- …sales and distribution to new and existing clients - the legal and compliance aspects of designing and administering life insurance and annuity products + Identify ... and a Member of the Bar in good standing is required Experience + Experience with Securities Act of 1933 and Investment Company Act of 1940 + Minimum of 10+ years'… more
- Bank of America (Jacksonville, FL)
- …Description:** This job is responsible for providing operational support for securities , loans, exchange traded derivatives and over the counter derivatives across ... a high degree of accuracy with customers and data to ensure compliance with regulations and policies. **LOB Description:** Corporate Actions Control Team performs… 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
- Citigroup (Tampa, FL)
- …including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. We enable clients ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more