- JPMorgan Chase (Tampa, FL)
- …as part of Securities Services strategic business risk reviews, analysis of regulatory and market developments, New Business Initiative Approvals and review of ... mitigating controls. Recommend any adjustments required to meet JPMC policy, regulatory requirements, and industry best practices. + Participate in key technology… more
- MUFG (Tempe, AZ)
- …and frameworks + Experience managing Third-Party relationships. + Knowledge of regulatory bodies governing financial services. + Strong analytical mindset, able to ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major… more
- MUFG (New York, NY)
- …and capability transfer to clients (as needed) + Ensure compliance with regulatory requirements and industry best practices in the deployment and management of ... hands-on experience creating and evaluating comprehensive processes in a regulatory environment + Experience in the financial services industry preferred,… more
- MUFG (Tempe, AZ)
- …changes. + Monitor and interpret developments in cybersecurity programs, regulatory requirements, and internal organizational changes that influence reporting and ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major… more
- Citigroup (Wilmington, DE)
- …profitability through risk based pricing, balancing customer experience and ensuring regulatory compliance. This role will partner across multiple teams, including ... impact forecasting and thorough understanding of competitive landscape and regulatory environment + Evaluate new initiatives by developing financial sizings,… more
- Citigroup (New York, NY)
- …conducts due diligence on prospective PI/Fintech customers, coordinates delivery of AML and regulatory advice, and will work with First and Second line partners to ... organizational skills are also necessary. + Working knowledge of regulatory requirements **Education:** + Bachelor's Degree/University degree or equivalent… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …projects & initiatives, ensuring timely execution and adherence to regulatory requirements. Monitor progress, track milestones, and provide regular updates ... Management:** Ensure all transition activities comply with FINRA, SEC, and internal regulatory standards. Partner with Legal and Compliance teams to mitigate risk… more
- Citigroup (New York, NY)
- …Product & Market Expertise: + Provide clients with thought leadership on regulatory changes, industry trends, and product solutions + Understand existing and future ... client demands, and global market developments + In-depth understanding of the regulatory , risk, and control environment impacting the Investor Services business +… more
- Citigroup (Tampa, FL)
- Given the increasing industry and regulatory focus around control related tasks, this role is critical to maintaining a robust control environment & governance ... of the First Line of Defense working with product partners. **Control & Regulatory Focus** + Seek out and ensure corrective actions are implemented for control… more
- Citigroup (San Francisco, CA)
- …is delivering a high level of service and complying with corporate and regulatory policies and procedures. + Interface daily with Banking teams to ensure escalated ... identify and resolve on-going issues. + Regularly review internal control and regulatory requirements and self-test results to ensure that effective controls are in… more