- Raymond James Financial, Inc. (St. Petersburg, FL)
- …policies (RJA & RJFS), and other regulations. Responsible for ensuring the Division Supervision Officer and Business Leadership in AFS and IC are informed of ... to the AFS and IC management teams. Responsible for risk, supervisory and compliance matters, and working with AFS and IC Management to enforce policies and… more
- HSBC (New York, NY)
- … Policy by escalating any identified compliance risk in liaison with Global Compliance Officer , Area Compliance Officer or Local Compliance ... key results drivers (RWAs, loan impairments, trading book losses, AFS reserves, NII, fees, income and costs, etc) +...drivers that move these across all asset classes In compliance with applicable laws, HSBC is committed to employing… more