• Advisor, Investment Advisory Services & Programs

    Raymond James Financial, Inc. (St. Petersburg, FL)
    **Essential Duties and Responsibilities** + Assist with compliance governance reporting for all compliance pillars, including compliance representation, conducting ... Division, including operational businesses. + Manage compilation of CCO quarterly reporting for investment products and advisory services coverage area. + Coaches… more
    Raymond James Financial, Inc. (08/28/25)
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  • Internal Audit, Vice President - Market Risk…

    MUFG (Tampa, FL)
    …successful execution of the end-to-end audit process (eg planning, fieldwork testing, reporting , issues validation, etc.). The Senior Auditor I also establish ... recruitment team will provide more details. **Job Summary:** The Senior Auditor I role within Internal Audit is responsible...SEC and NASD rules. + Experience working with financial industry regulators, including OCC, FRB, and FINRA +… more
    MUFG (07/31/25)
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  • Compliance Manager, Capital Markets

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …banking compliance. + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority (FINRA); state securities ... oversees compliance processes including scheduling, training, and review of compliance reporting . + May report compliance program status and activities to Compliance… more
    Raymond James Financial, Inc. (08/22/25)
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