- Citigroup (Tampa, FL)
- Serves as a risk manager for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the promotion, ... regulatory interactions (recurring and ad-hoc), ongoing supervision and exam management . In addition, this role will...and maintain dashboards and reports for senior management to provide regular status updates on regulatory… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Facilitates regulatory monitoring activities and supervisory planning, including tracking exam findings and responses to regulatory inquiries + Supports ... Assist in preparing regular reporting and updates for executive management and the Board regarding regulatory exams,...- 10 to 15 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Duties and Responsibilities** + Develop and regularly update presentation materials used by senior management in a myriad of investor-related settings + Analyze ... business partners to create quarterly earnings materials used by senior management to support strategy and messaging...- 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …General Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Travel** Less ... are broad in nature and cover topics relevant to capital risk management , estimation, adequacy, actioning, general planning and strategy. Supports analyses on… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …General Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Travel** Less ... Liquidity capabilities in preparation for continued growth and additional regulatory requirements associated with firms in excess of $100...and reports for the RJF Board of Directors and management committees. + Assists with requests from Risk … more
- MUFG (Tampa, FL)
- …and collaborate with the second line of defense and legal teams to finalize management responses to regulatory exam findings. - Provide primary coverage ... Management Framework covering coordination of SLoD, TLoD and regulatory engagements. - Manage the Oversight and Challenge of...SLoD and TLoD coordination and communication. - Meet with senior management and respective risk management… more
- BayCare Health System (New Port Richey, FL)
- …Health System.** **Duties and responsibilities can include:** **. Supervision, mentorship and senior -level support for a team of Emergency Management Specialists ... health care throughout the communities we serve.** **Position:** **Emergency Management Leader** **Facility:** **BayCare System Office/All BayCare Facilities** **The… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …(internal audit, regulators and auditors). + Conducts due diligence to respond to regulatory inquiries, exam requests, internal audit, and compliance requests. + ... + Advanced knowledge of financial markets and products. + Management of internal and external regulatory exams...- 10 to 15 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …developing and delivering projects or a work stream within the organization's change management program. Involves working with guidance from senior colleagues. + ... Manager Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series… more
- Citigroup (Tampa, FL)
- …for DCI in the regulatory , audit and policy areas, including DCI exam and issue management , governance and control execution, policies, procedures & ... **Responsibilities:** + Provide oversight and facilitation of AML DCI exam and issue management activities + Design,...improve upon the Governance and Escalation framework to inform senior management in a timely manner of… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …with significant business impact involving cross-functional teams. Extensive contact with Senior and Executive Management is required to provide comprehensive ... group management to identify and implement solutions. + Monitors regulatory compliance with internal and external groups including auditors, FINRA, IRS, SEC,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …morale and plans for appropriate team building activities and rewards and recognition + Handles performance management including career development and ... track of risk parameters, identifying any deviations and reporting them to more senior colleagues. Involves working within established risk management systems. +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …track of risk parameters, identifying any deviations and reporting them to more senior colleagues. Involves working within established risk management systems. + ... Experience - 13 months to 3 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 63_AG… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …expenses. Resolves and recommends solutions to complex problems. Regular contact with senior management and other internal customers is required to identify, ... third-party software costs. + Oversees preparation of reports for management . + Works closely with management to...- More than 15 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …track of risk parameters, identifying any deviations and reporting them to more senior colleagues. Involves working within established risk management systems. + ... General Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series… more
- Truist (Tampa, FL)
- …in the community in order to provide confident and comprehensive wealth management advice and solutions. Utilize objective and sound personal financial planning and ... clients, their attorneys and CPAs. * Maintain appropriate legal, operating and regulatory controls to manage risk and compliance. Works within the existing audit,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …General Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Travel** Less ... members to provide ideas, support and resolution to complex problems. Works with management to contribute strategic direction on operational needs of the growing ECM… more
- Citigroup (Tampa, FL)
- … management .** **R&C support for AML functions in areas of Issue/CAP Management and Audit/ Exam /Validation Management .** **Providing guidance, advice, and ... tracking of multiple processes related to audit coordination and management .** **Analyzing comparative data and preparing global reports related...**Provide support to Global AML Governance Risk & Control Senior Manager & team on a variety of Risk… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …effectively, both orally and in writing, with all organizational levels, including senior management * Organize, manage and track multiple detailed tasks ... covering a subset of clients * Engage the portfolio management teams within the sales planning process and provide...- 10 to 15 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Manager Experience - More than 15 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Travel** ... transaction closing. The Director will also have regular contact with senior leadership. **Essential Duties and Responsibilities:** . Liaise with relevant… more