- Citigroup (Tampa, FL)
- …& Public Affairs (ESPA) Risk & Control and Governance Framework in the Regulatory Management and Compliance space. This role is a developing professional role with ... mapping workflow, assist in the regulations change workflow, and support regulatory management controls and oversight across ESPA, to mitigate regulatory… more
- MUFG (Tampa, FL)
- …+ Familiarity with the Sound Practices to Operational Resilience, and ensure all regulatory requirements (eg FFIEC, OCC, FRB) are being adhered to + Propose ... response + Facilitate integration of second line frameworks, policies, standards and regulatory requirements + Provide support for internal audits and regulatory … more
- MUFG (Tampa, FL)
- …with documented results that adhere to methodology, applicable standards and regulatory requirements, using appropriate business and technical language. + Document ... that meet objectives and standards of methodology, applicable standards and regulatory requirements. **Skills and Experience:** + A Bachelor's degree, preferably in… more
- Arena Investors LP (Jacksonville, FL)
- …. 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; ... blotter, trade errors, best execution, allocation, principal/cross trades, etc.); . Regulatory filings oversight/co-ordination (eg Form ADV, Form PF, Form 13F, Form… more
- JPMorgan Chase (Tampa, FL)
- …Testing CoE's overall success and strengthen the firm's compliance with regulatory obligations and industry standards. **Job responsibilities** + Lead control ... + Assess and monitor risks, ensuring adherence to firm standards, regulatory requirements, and industry best practices. Implement strategies to mitigate identified… more
- MUFG (Tampa, FL)
- …UCC, etc) and experience with enforcement agencies oversight activities ( regulatory examinations, matters requiring attention (MRAs), consent orders, etc.) within ... control assessments, and designing/executing test scripts + Understanding of the regulatory environment and regulations related to operational risk, and Office of… 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
- MUFG (Tampa, FL)
- …professionals to provide guidance and support to operational, business and regulatory teams and will perform expert level database security incident response ... to demonstrate and provide evidence of security controls are adherence to regulatory compliance. + Executing and enhancing monitoring systems used to detect and… more
- MUFG (Tampa, FL)
- …changes. + Staying current on changes and potential changes in the sector and regulatory developments is an important part of your job + Coordinate and communicate ... assignments and projects as required. + Ensure compliance with external regulatory /internal policy and procedural requirements + Participate in ad-hoc policy… more
- Citigroup (Tampa, FL)
- …ensures operationalization of all relevant policies, standards, procedures, and regulatory obligations, while providing oversight governance and strategic influence ... record of delivering timely compliance and quality assurance in a regulatory or risk management environment within the Financial Services/Investment Banking… more