- Citigroup (Tampa, FL)
- …also be involved with special projects such as internal controls, compliance , standard operating procedure writing, software application requirement development and ... field or years equivalent to work experience * 3 years' experience in Securities industry or Financial experience * Demonstrated ability to take ownership of… more
- JPMorgan Chase (Jupiter, FL)
- …Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) + ... 2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and...Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor,… more
- MUFG (Tampa, FL)
- …to: 1) OFAC, Japanese Foreign Exchange Law (JMOF), BSA/AML, and various other Compliance related matters as they pertain to the business conducted by the Money ... 4) Management Reporting functions. **Responsibilities:** _Ensure MTD's adherence to MUFG's Compliance Policies_ : + Monitor and process all manual review… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …skills obtained through education, experience and/or certification in banking industry regulatory compliance to ensure first line compliance with banking rules ... and regulations within Corporate Banking. Manages Corporate Banking compliance functions/programs to ensure compliance processes and procedures are integrated… 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 ... (GPOs, IDNs, hospitals, physician offices, etc.), strategic sourcing, marketing, regulatory/ compliance and contract manufacturing. **_Responsibilities_** + Demonstrate strong business… 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 ... on a variety of legal questions and issues, such as contract compliance and confidentiality. Determines appropriate legal actions and projects associated costs for… 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 ... + Handle fast paced and high-volume workload + Identify legal and compliance issues and business risks and escalate appropriately + Effectively communicate with… more
- MUFG (Tampa, FL)
- …Control and Customer Service; (4) Staff and Performance Management (5) Compliance policies and procedures. (6) Special projects (7) Provide Operational /Technical ... Ensure all default, principal and interest draws are in compliance with the LC terms and conditions and comply...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Wells Fargo (Fort Lauderdale, FL)
- …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008 and all related… more
- Citigroup (Tampa, FL)
- …framework for all regulatory reporting & Client Tax across multiple jurisdictions, ensuring compliance with diverse and complex regulations & Tax laws. This role is ... range of products and services offered to global clients. **Regulatory Compliance :** Stay abreast of evolving global regulatory requirements, Citi policies,… more