- Citigroup (Tampa, FL)
- …exam schedules, responses due, exam highlights/updates through weekly reporting to Senior Management and Regulatory Engagement Lead forums. + Maintain ... intake, regulatory submission and internal distribution to Senior Management and Citi Boards. + Monitor...plus. **Job Family Group:** Compliance and Control **Job Family:** Regulatory Liaison & Exam Management … more
- Citigroup (Tampa, FL)
- …a comprehensive process to proactively identify and reduce operational risk. As a senior member of the Regulatory Operations Line Control team, the incumbent ... Internal Policy adherence, New Business initiatives, Issue & Corrective Action Plan Management and Internal & External Audit exam participation. Partnering with… more
- Wells Fargo (Tampa, FL)
- **About this role:** Wells Fargo is seeking a Financial Advisory Senior Branch Manager - Non-Producing in Wealth and Investment Management as part of Wells Fargo ... to grow the branch + Identify and recommend opportunities for compliance, regulatory , and administrative issues relating to the branch + Be responsible for… more
- Citigroup (Tampa, FL)
- …key control metrics specific to Issues management , MCA/control effectiveness and audit/ exam performance, EUC management , Regulatory Change Management ... in complex operational environment + Experience preparing presentations in PowerPoint for senior management + Ability to work effectively in a cross-functional… more
- Citigroup (Tampa, FL)
- The individual will work in Liquidity Methodology team within Liquidity Management (LM) team which is part of Citi's Corporate Treasury function. The LM team is ... and implement initiatives to improve Citi's liquidity profile and related risk management processes. The LM team interfaces with Citi's Asset Liability Committees… more
- Raymond James Financial, Inc. (Tampa, FL)
- …of risk parameters, identifying any deviations and reporting them to more senior colleagues. Involves working within established risk management systems. Track ... General Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Travel** Less… 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