- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Role Summary** As the VP , AML Officer for the Raymond James Bank and Trust businesses, you will oversee and execute an anti-money laundering framework aligned to ... strategy and designed to protect client trust, financial integrity, and regulatory compliance. Additionally, this role oversees AML governance and operations… more
- Citigroup (Tampa, FL)
- …and institutions with a broad range of financial products and services , including consumer banking and credit, corporate and investment banking, securities ... brokerage, transaction services , and wealth management. As a bank with a...client businesses to ensure full alignment on business and regulatory goals, as well as consistency and best practices.… more
- MUFG (Tampa, FL)
- …member of our recruitment team will provide more details. **Job Summary:** The Senior Auditor I within Internal Audit is tasked with leading independent and ... reporting, and issues validation-while independently overseeing their successful completion. The Senior Auditor I also provides strategic guidance to staff on… more
- Citigroup (Tampa, FL)
- The Business Risk Senior Manager accomplishes results through the management of professional team(s) and department(s). Integrates subject matter and industry ... of judgement and autonomy. * Acts as SME to senior stakeholders and /or other team members. * Ability...* 6-10 years exeperience in management, risk management and/or regulatory compliance in one or more of the following… more
- MUFG (Tampa, FL)
- …experience managing complex and dynamic Third-Party relationships. + Knowledge of regulatory bodies governing financial services and in providing guidance ... to other US regulators (eg, NY Department of Financial Services ), and foreign-based regulators (eg, Japan's Financial Services...phase of the TPRM Lifecycle. + Consults with the SR throughout the phases of Third-Party Relationship Lifecycle. +… more
- Citigroup (Tampa, FL)
- …reviews, addressing root causes of unintended losses and ensuring policy and regulatory compliance in resilience and third-party risk management. + Assess the ... assessment processes. + Thought leadership and clarity in presenting ideas to senior management. + Proven technical knowledge of resilience and Third-Party Risk… more
- Arena Investors LP (Jacksonville, FL)
- …won't. Arena is looking to expand the team through the addition of a senior Compliance Officer. In this role, this individual will work closely with the compliance ... . Support front, middle and back-office personnel on a wide variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940;… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Risk, Legal, Compliance, and PCG to ensure supervisory practices align with regulatory expectations, mitigate firm risk, and support advisor and client outcomes. + ... a robust supervisory framework for investment advisory programs. + Monitor regulatory changes and ensure firm-wide compliance across advisory activities. + Foster… more
- Citigroup (Tampa, FL)
- …risk appetite in line with changes in the business environment, regulatory requirements, and strategic objectives. + Help collaborate with key stakeholders ... processes and identify potential areas for improvement. + Stay updated on regulatory changes and industry best practices related to control management and ensure… more
- Citigroup (Tampa, FL)
- The Securities & Derivatives Lead Analyst is a senior level position responsible for processing orders and transactions originating from trading desks and branch ... offices in coordination with the Operations - Transaction Services team. The overall objective of this role is...in backing of existing and new clients, including all regulatory requirements + Develop, implement and track appropriate KPIs… more