- Santander US (Miami, FL)
- SEC / FINRA Regulatory Controls &...with control team to review, monitor and track controls related to SEC / FINRA regulations. * ... with the Issue Management team. * Work with the control team to monitor compliance with regulatory ...to help assess and escalate identified issues related to SEC / FINRA regulatory controls .… more
- MUFG (Tampa, FL)
- …working with the financial industry regulators, including OCC, FRB, SEC and FINRA and responding to regulatory requests. + Proficient understanding of the ... and work programs. + Evaluate design and operational effectiveness of internal controls and identify control weaknesses. + Generate insightful, meaningful… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …industry compliance. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state ... between the organization and industry committees such as SIA, FSI, and the FINRA . + Reviews compliance controls and recommends appropriate changes, as required.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and/or banking compliance. + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); state ... + Implement formal testing protocols for key risks and controls . + Monitor regulatory developments and assess...with enterprise governance structures. + Maintain policy mappings to regulatory obligations and control frameworks such as… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …banking compliance reviews. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state ... violations or potential liability. + Assists Management to implement adequate controls and quality assurance processes to detect and address potential compliance… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …banking compliance reviews. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state ... meaningful input to ensure risk data is captured, risk mitigation strategies and controls are developed when gaps exist, and appropriate reporting mechanisms are in… more
- JPMorgan Chase (Tampa, FL)
- …on marketing-related regulatory topics, industry developments and regulations (including FINRA , SEC , CFPB, FTC etc.). + Conduct compliance assessment of ... Be part of our centralized team as an expert in marketing-related obligations (eg, FINRA 2210, SEC Rule 206, Investment Company/Advisers Act, OCC, MSRB, CFTC,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …knowledge and experience, this role is responsible for monitoring the possession and control of client assets, preparing and validating regulatory reports, and ... procedures + Compiles operational information for internal and external auditors (eg FINRA , SEC ) with limited oversight + Plans and executes remediation… more
- MUFG (Tampa, FL)
- … controls before application design begins, ensuring applications are secure by control design and compliant with regulatory mandates such as FFIEC, SOX, ... prior to architectural design, ensuring alignment with enterprise risk appetite and regulatory mandates. + Develop control requirements that span IaaS, PaaS,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and regulatory compliance through robust operational processes and platform controls . + Fund Relationship & Industry Advocacy: Serve as the executive liaison ... Monitors regulatory compliance with internal and external groups including auditors, FINRA , IRS, SEC and others. Knowledge Of: + Company's working structure,… more
- Guardian Life (Tallahassee, FL)
- …and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with a familiarity of ... office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws.… more