- Raymond James Financial, Inc. (St. Petersburg, FL)
- …industry operations * Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities ... and Responsibilities:** * Reviews requests for Outside Business Activities to ensure compliance with firm policy and regulatory rules. * Interfaces with specific… more
- SMBC (New York, NY)
- …Familiarity with regulatory and industry standards such as BCBS 239, GDPR, or OCC/ SEC data compliance expectations. + Prior experience implementing data tools or ... issues to the right stakeholders at the right time. + Partner with Compliance , Risk, Audit, and Technology teams to ensure program objectives align with regulatory… more
- Citigroup (New York, NY)
- …(Reg-T, Portfolio Margin, Enhanced Leverage) + Previous experience interacting with Regulators ( FINRA , SEC , FRBNY) + Previous experience in legal contract ... enhancing business profitability, and strengthening risk and controls and regulatory compliance . The product manager will help scope and define the requirements… more
- Robert Half Technology (Dallas, TX)
- …. Ensure compliance with industry standards and regulations. . HIPAA, FINRA , SOX Continuous Improvement: . Stay updated on the latest cybersecurity trends and ... BS/BA/Associates or relevant field experience . Industry certifications such as CISSP, Sec +, CEH, CISM, or . Customer-focused attitude with a com Technology Doesn't… more
- US Bank (Milwaukee, WI)
- …, audit and financials, while ensuring all Fund Accounting functions are in compliance with SEC regulations and GAAP principles. Basic Qualifications - ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- Mizuho Corporate Bank (New York, NY)
- …familiarity with the regulatory oversight process as it related to FRB, CFTC, FINRA , NFA, SEC , and other US regulators.*Established track record of developing ... law degree highly preferred*Minimum of 10 years of experience in regulatory compliance , legal and regulatory framework and rulemaking process applicable to US… more
- Kyndryl (New York, NY)
- …below more) + Insights into regulatory frameworks (eg, Basel III, SEC , FINRA , etc.) to help clients navigate compliance challenges + Deep understanding of ... veteran status, or other characteristics. Kyndryl is also committed to compliance with all fair employment practices regarding citizenship and immigration status. more
- MUFG (Irving, TX)
- …neural networks, fuzzy logic matching, decision trees, etc. + Familiarity of current compliance rules and regulations of the FRB, SEC , OCC, FATF, FinCEN, ... + Familiarity implementing, testing or evaluating performance of financial crime and compliance systems. + Proven track record of strong quantitative testing and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Ensure regulatory compliance and fiduciary alignment with industry standards, including SEC , FINRA , and other governing bodies. + Lead marketing and branding ... + Regulatory landscape governing the asset management business, including compliance and fiduciary requirements. + Business strategy, corporate finance, and… more
- MUFG (Tampa, FL)
- …various line-of-business, risk function SMEs across the firm (For example: Compliance , Business Continuity, Information Security) and third-party contacts to drive ... the TPRM program including those from agencies such as the FFIEC, the SEC , other US regulators (eg, NY Department of Financial Services), and foreign-based… more