- Citigroup (Miami, FL)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... areas. + US Only: S7, S66 (or 63 & 65) & S31; NOTE: Securities Industry Exam (SIE is a prerequisite to the S7) **Education:** + Bachelor's/University degree,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …both internal clients and functional area representatives including legal, compliance , supervision, operations, and AML. **Essential Duties and Responsibilities:** + ... FINRA/SEC rules and regulations. + Principles of banking and finance and securities industry operations Skill in: + Conducting negotiations with third parties, with… more
- MUFG (Tampa, FL)
- …to identify deterioration or negative management control trends and review compliance with policies, guidelines, and regulations. + Prepare periodic Risk Profile ... 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)
- …accordance with the credit agreement, minimizing operational risks and losses, and ensuring compliance with all bank policies and procedures * Act as main point of ... 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)
- …in the financial services industry. + Knowledge and experience with regulatory compliance . **Working Knowledge** + Zscaler Secure Access Service Edge (SASE) + ... 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)
- …in the financial services industry. + Knowledge and experience of regulatory compliance . Working Knowledge + Zscaler Secure Access Service Edge (SASE) + Firewalls, ... 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)
- …and full communication with the operations and support. + Ensure compliance with technical best practices, standards and policies. + Gather/document business ... 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
- RELX INC (Boca Raton, FL)
- …news collections, regulatory insights, and powerful analytical tools for compliance , transactional and financial reporting professionals. Intelligize offers a ... MLS, JD or other advanced degree preferred + Industry knowledge of Securities disclosure and regulation highly favored + Experience performing simple and complex… more