- MUFG (Tampa, FL)
- …+ Ensures adherence to all bank policies and procedures relative to Regulatory Compliance including but not limited to the Bank Secrecy Act, USA Patriot Act, ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …evolution of AMS's technology stack + Evaluation and execution of regulatory, compliance and supervision related efforts in AMS + Collects and analyzes information, ... documentation. + System analysis and business process modeling. + Principles of securities industry operations. + Business planning and analysis. **Skill in** +… 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
- Bank of America (Jacksonville, FL)
- …Advice Access, and Self Directed Brokerage. **Required Qualifications:** + FINRA Securities Industry Essentials Examination (SIE), Series 7 & Series 63 licenses ... + Business Acumen + Customer and Client Focus + Issue Management + Regulatory Compliance + Active Listening + Oral Communications + Problem Solving + Risk Management… 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 ... Data Quality strategies + Support efforts to bring Exception Management processes into compliance with the CDGP + Assess the effectiveness of Controls and suggest… more
- Citigroup (Boca Raton, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management. Citi Bank Retail Mortgage provides ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- NextEra Energy (Juno Beach, FL)
- …tax equity partnerships and other joint ventures, tax credit transfer deals, and securities offerings. This role will also involve reviewing and commenting on tax ... selection process for qualified individuals, including accommodations related to compliance with conditional job offer requirements, consistent with federal, state,… more
- MUFG (Tampa, FL)
- …staff in achieving and maintaining professional certifications. + Embed regulatory and compliance training into the audit learning curriculum. + Manage the audit ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- MUFG (Tampa, FL)
- …+ Ensures adherence to all bank policies and procedures relative to Regulatory Compliance including but not limited to; the Bank Secrecy Act, USA Patriot Act, ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- Publix (Lakeland, FL)
- …policies and procedures are followed and processes are completed timely in compliance with plan documents, and regulations issued by the US Department of ... Retirement Income Security Act (ERISA), the US Internal Revenue Service (IRS) and Securities and Exchange Commission (SEC) + Knowledge of Publix culture, history and… more