- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and continuing education options. **Job Summary:** Raymond James is hiring a Supervision Senior Advisor to review and analyze account disclosures and transaction ... limit firm liability. Conduct internal reviews to ensure compliance with regulatory requirements and internal policies including potential conflicts of interest.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …regulations and guidelines as well as firm policies governing advisory accounts. A Senior Advisor , general investment advisory is expected to conduct reviews ... extensive contact with internal customers to identify, research, and resolve problems. The Senior Advisor in this role will support Raymond James' Private Client… more
- PNC (Tampa, FL)
- …to the company's success. We are looking to hire a Credit Risk Review Advisor Senior in Credit Risk Review within PNC's Independent Risk Management organization. ... management and PNC's Risk Committee of the Board of Directors. As CRR Advisor Senior you will join a highly skilled team providing independent assessments… more
- JPMorgan Chase (Palm Beach Gardens, FL)
- **Job Profile:** Join our fun, high-energy team as a Senior Home Lending Advisor in Chase Home Lending and put your exceptional knowledge and understanding of ... this area of specialization. You will adhere to all regulatory requirements while marketing and promoting the financial products...making a significant impact on our business. As a Senior Home Lending Advisor in Chase Home… more
- Citigroup (Boca Raton, FL)
- The Senior Wealth Advisor SAFE Act is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of new techniques ... segment partners where appropriate (including, but not limited to Senior Wealth Advisor , Small Business Partners, Home...leads. + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that KYC/AML… more
- JPMorgan Chase (Miami, FL)
- Join our fun, high-energy team as a Senior Home Lending Advisor in Chase Home Lending and put your exceptional knowledge and understanding of home lending ... this area of specialization. You will adhere to all regulatory requirements while marketing and promoting the financial products...making a significant impact on our business. As a Senior Home Lending Advisor in Chase Home… more
- USAA (Tampa, FL)
- …what truly makes us special and impactful. **The Opportunity** The Business Risk and Controls Advisor Senior is positioned in the first line of defense to advise ... risk and compliance remediation, internal and external audits and regulatory exams, and monitoring of the first line of...phases for effective and timely risk remediation. + Advises senior management on the status of their control environment… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …specialized training and/or certification in securities and/or banking industry to mitigate regulatory , litigation and reputation risk to the firm as it relates to ... addressing client grievances and regulatory inquiries. Works independently on difficult assignments that are...+ Contributes and leads discussions to determine the Firm's regulatory obligations regarding U4 amendments and settlement reporting. +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …consolidation and delivery of monthly and quarterly Compliance reports for senior leaders. + Collaborates with cross-functional teams to gather, validate and ... stakeholders to ensure content remains current, relevant and aligned with regulatory expectations and company values. + Manages version control, documentation and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …for Outside Business Activities to ensure compliance with firm policy and regulatory rules. * Interfaces with specific business platform management associates to ... and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or… more