- Raymond James Financial, Inc. (St. Petersburg, FL)
- …identifies, manages, and reports on risks in alignment with regulatory expectations from FINRA , SEC , and the Federal Reserve. **Job Summary** Under general ... risk management perspective. The intern will collaborate with teams across Supervision, Compliance , Legal, and Regulatory Risk. **Start Date:** Monday, June 1, 2026… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …of financial services, products and services, including relevant regulations (eg FINRA , SEC ), especially those associated with broker-dealer and registered ... and skills obtained through education and to conduct comprehensive operational, compliance , and financial audits for Raymond James Internal Audit's Wealth Management… more
- Broadridge Financial Solutions (Denver, CO)
- …with observability tooling (Datadog, similar others). + Exposure to regulatory environments ( FINRA , SEC , etc.) and audit-readiness practices. Soft Skills: + ... MQ governance modelsnaming conventions, access controls, TLS/mutual auth, and compliance enforcement. + Define audit logging, configuration baselines, and change… 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
- Motion Recruitment Partners (New Castle, DE)
- …Bank Secrecy Act (BSA), The USA PATRIOT Act, US Treasury AML guidelines, OFAC, SEC , FINRA , FRB, FinCEN requirements, and SAR requirements. + Advanced proficiency ... Money Service Businesses, Wealth Management and Retail Banking as well as compliance with those business segments. + Excellent project management skills. + Excellent… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …& Compliance :** + Deep understanding of financial services regulations (SOX, GLBA, FINRA , SEC ) + Experience with PCI-DSS, GDPR, and other data protection ... regulations + Knowledge of audit processes and control frameworks **Certifications (Preferred):** + Advanced security certifications: CISSP, CCSP, or equivalent + Cloud certifications: AWS Solutions Architect Professional, Azure Solutions Expert, or GCP… more
- Insight Global (Atlanta, GA)
- …Bank Secrecy Act (BSA), US PATRIOT Act, or fraud. Previous employment with FinCEN, SEC , FINRA , OCC, or attorneys with relevant financial experience may also be ... https://insightglobal.com/workforce-privacy-policy/. Skills and Requirements 6-10 years relevant financial crimes compliance experience 2- 3 years of experience leading robust… more
- US Bank (Hackensack, NJ)
- …and external administrators, transfer agencies, prime brokers, and custodians to ensure compliance with SEC regulations and adherence to GAAP principles across ... 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
- Bank of America (Charlotte, NC)
- …Dealer organization responsible for the preparation of Regulatory Reporting calculations ( SEC Rule 15c3-3) for locally regulated entities including broker dealers, ... Previous experience in Broker Dealer or Regulatory Reporting + FINRA Series 99 or 27 + CPA or equivalent...Laws, Rules, and Regulations + Project Management + Regulatory Compliance + Stakeholder Management **Shift:** 1st shift (United States… more
- US Bank (Minneapolis, MN)
- …**Asset Management** **team** US Bancorp Asset Management (USBAM) is an SEC Registered Investment Adviser providing investment management services to institutional ... as back office support functions in operations, accounting, and compliance . **What** **you'll** **do** Wealth & Asset Management Rotational...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more