• Compliance Officer - Vice President

    Arena Investors LP (Jacksonville, FL)
    …with the Investment Advisers Act of 1940; . Support the CCO with FINRA broker - dealer requirements; . Monitoring of Client guidelines and restrictions; . Review ... policies and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing and monitoring); . Conflicts… more
    Arena Investors LP (08/12/25)
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  • I-Banking Pre & Post Trade Exchange Traded…

    Santander US (Miami, FL)
    I-Banking Pre & Post Trade Exchange Traded Derivatives & Clearing Operations, Vice President Country: United States of America **Your Journey Starts Here:** ... all regulatory aspects governing the ETD's and Clearing activities in a US Broker Dealer . + Proven track record of managing providers of outsourced services +… more
    Santander US (07/31/25)
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  • Internal Audit, Vice President…

    MUFG (Tampa, FL)
    …Risk Management with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap ... Dealer , Volcker and FINRA, SEC and NASD rules. + Experience working with financial industry regulators, including OCC, FRB, and FINRA + Deep knowledge of risk assessment, audit methodology, and audit execution + Demonstrated proficiency in technology as… more
    MUFG (07/31/25)
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  • Third-Party Risk Management, Vice…

    MUFG (Tampa, FL)
    …financial services industry; previous working experience within Capital Markets, Asset Management, Broker Dealer , Finance, Treasury and or risk management + ... Strong knowledge of Operational Risk Management Programs and frameworks including (but not limited to): RCSA, Loss data, Products and Services, Scenario Analysis, KRM/KRI and Issue Management). + Significant experience managing complex and dynamic Third-Party… more
    MUFG (07/09/25)
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