- JPMorgan Chase (Tampa, FL)
- …diligent oversight, coverage, advice/expertise and assessment of compliance and regulatory risks with respect to marketing activities, processes and controls ... stakeholders to provide compliance advice and guidance on marketing-related regulatory topics, industry developments and regulations (including FINRA, SEC, CFPB,… more
- MUFG (Tampa, FL)
- …or OFAC, regulations); fraud; Core-Compliance (privacy, etc.); government and industry regulatory and policy-making agencies (eg, Financial Industry Regulatory ... Corruption) * Experience with the financial industry and related markets, related regulatory bodies and/or Big 4 professional services firms * Prior experience… more
- MUFG (Tampa, FL)
- …controls are being performed in compliance with bank policies, procedures, and regulatory requirements to mitigate risk to the firm + Provide project management ... and identifying issues + Experience with enforcement agencies' oversight activities ( regulatory examinations, etc.) + Understanding of the regulatory environment… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …channels. Manage fund reference data integrity and enforce prospectus and regulatory compliance through robust operational processes and platform controls. + Fund ... (NSCC/DTCC), ensuring operational readiness for new offerings, corporate actions, and regulatory changes. Advocate for the broker-dealer industry within the mutual… more
- Citigroup (Tampa, FL)
- …appropriate talent strategies to fill skill needs. + Participate and deliver the regulatory response specific to the skills process required for Risk and Control ... and Internal Audit requirements. + Contribute to the closure of the regulatory commitments, including the completion of milestones as per the Transformation Project… more
- MUFG (Tampa, FL)
- …controls are being performed in compliance with bank policies, procedures, and regulatory requirements to mitigate operational risk to the firm + Execute testing ... reviews with providing direct and meaningful feedback. + Understanding of the regulatory environment and regulations related to bank products and services, and… more
- MUFG (Tampa, FL)
- …Ensure compliance with all industry, federal, state, and Bank Secrecy Act regulatory requirements across processing activities + Identify and resolve wire compliance ... electronic funds transfer policies and procedures + Review sanctions alerts; provide regulatory and disaster recovery testing + Analyze reports taking action where… more
- JPMorgan Chase (Tampa, FL)
- …end-to-end quality reviews of KYC profiles to meet corporate and regulatory standards for new clients, incremental business, periodic reviews, and remediation, ... action plans, and risk items + Stay up to date on process, procedure, and regulatory changes, ensuring your team is aware of and adheres to all updates + Identify,… more
- JPMorgan Chase (Lake Mary, FL)
- …and stakeholder management abilities. + Knowledge of financial products, services, and regulatory requirements. + Experience in coaching Advisors or a sales team + ... and stakeholder management abilities. + Knowledge of financial products, services, and regulatory requirements. + Experience in coaching Advisors or a sales team +… more
- JPMorgan Chase (Tampa, FL)
- …and ensures adherence to the firm's risk, controls, compliance, and regulatory requirements + Effectively manages timelines and dependencies while monitoring ... partners and ensures adherence to the Firm's risk, controls, compliance, and regulatory requirements. + Work with stakeholders across multiple lines of business to… more