- PNC (FL)
- …Organization supporting the Risk, Change, Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may be ... opportunity to contribute to the company's success. As a Compliance Program Advisor , you will be within...will also be responsible for the following: - Coordinating regulatory compliance efforts for PNC's organizations, planning,… 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 ... internal customers to identify, research, and resolve problems. The Senior Advisor in this role will support...advisors and branch managers and recommend actions to ensure compliance with existing rules and regulations as well as… 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 ... for stronger controls, and in support of risk and/or regulatory compliance related initiatives which may include:...phases for effective and timely risk remediation. + Advises senior management on the status of their control environment… 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...leads. + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that ... segment partners where appropriate (including, but not limited to Senior Wealth Advisor , Small Business Partners, Home...KYC/AML and other compliance norms are strictly adhered to + Partner with… 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
- 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 broad in nature requiring originality and ingenuity and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Duties and Responsibilities:** * Reviews requests for Outside Business Activities to ensure compliance with firm policy and regulatory rules. * Interfaces with ... methods. * Concepts, practices and procedures of securities industry and/or banking compliance , including suitability and other compliance issues involved with… more
- Truist (Tampa, FL)
- …for clients, their attorneys and CPAs. * Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing ... audit, compliance and regulatory framework in order to ensure a high quality,...working complex credit deals and/or in tandem with a senior credit advisor . * Advanced and proven… more
- Bank of America (Lighthouse Point, FL)
- …Specialist II, Lending Client Associate, Lending Client Support Manager, Lending Specialist, Senior Banker, Business Solutions Advisor or Financial Solutions ... Credit Solutions Advisor - Lighthouse Point Lighthouse Point, Florida **To...ethics and is thorough and thoughtful in incorporating relevant regulatory due diligence as well as complying with all… more