- Wells Fargo (Miami Beach, FL)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... in the sales development process + Knowledge and understanding of retail compliance controls, risk management, and loss prevention + Ability to follow policies,… more
- Travel + Leisure Co. (Orlando, FL)
- …assistance with certain of the public company's day-to-day corporate governance and compliance activities, such as coordinating meetings of the Board of Directors ... and assisting with SEC and NYSE compliance projects. This position will require interaction with senior executives, outside counsel and business unit personnel.… more
- MUFG (Tampa, FL)
- …the Executive Management. Ensure all default, principal and interest draws are in compliance with the LC terms and conditions and comply with the internal procedures ... and compliance requirements. + **Quality Control and Customer Service** :...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- MUFG (Tampa, FL)
- …our recruitment team will provide more details. Title: Trade Services Operations Compliance Senior Analyst Trade Services Operations Compliance Senior Analyst ... products and its characteristics, an understanding of the various trade finance-based compliance regulations, and must be able to independently review, monitor, and… more
- MUFG (Tampa, FL)
- …section's output reports, records and files. Ensure all standard operational and compliance procedures are updated and enforced. Provide timely support to new ... conditions and offer opinions and comments consistent with the internal/operating/ Compliance procedures. Respond to inquiries received from front/middle offices,… more
- Truist (Jacksonville, FL)
- …items by ensuring that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal policies and procedures. ... to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …This role demands a unique blend of technical expertise in financial securities data, operational problem-solving acumen, and strategic insight to ensure the ... and empower data-driven decision-making across trading, risk management, and compliance teams. **Responsibilities:** + Operational Issue Resolution & Reporting:… more
- MUFG (Tampa, FL)
- …for ServiceNow platform and ServiceNow Vulnerability Response and Configuration Compliance **Major Responsibilities** + Responsible for the development and sustained ... testing and support of ServiceNow Vulnerability Response and Configuration Compliance capabilities. + Design, implement and support runbooks Vulnerability Response… more
- MUFG (Tampa, FL)
- …Documentary Collections- Incoming and Outgoing/ Checks (b) US compliance regulation checks/screening/data entry; and (c) acceptances/payments, Reimbursement claims. ... against courier log. Handle Documentary LC documents as well. **Perform compliance checks/screening** for OFAC, EAR, Anti-boycott, BSA AML and JFEL (Japanese… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …will be the strategic and operational lead for the firm's global sanctions compliance program. Reporting to the Chief AML Officer, you'll be responsible for ensuring ... Lead the end-to-end design, execution, and oversight of the firm's sanctions compliance program + Establishes operational objectives and work plans. + Develops,… more