- 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …* Partners with business units to recommend policy and process changes to Senior Management . * Ensures effective coordination occurs within assigned work groups ... * Participates in the Bank's Complaint program oversight and management . * May coach, train, and mentor other Compliance...- 6 to 10 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Work Experience** Manager Experience - None **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) ... against budgets within established finance systems, and report variances to more senior colleagues. Develop and implement a customer contact plan to communicate… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …James and the financial advisors. + Establishes and makes recommendations to senior management on criteria surrounding event participation. + Collaborates with ... Manager Experience - 7 to 12 months **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Travel**… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …plans and objectives. . Provides a proactive interface for project stakeholders and senior management teams to ensure business requirements are completely and ... Manager Experience - 7 to 12 months **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Travel**… 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...- 6 to 10 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority… 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 ... General Experience - More than 15 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Tax… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …resources to mitigate risks. + **Progress Reporting:** Provide regular updates to senior management regarding team performance and challenges. + **Process ... General Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Travel** Less… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Manager Experience - 10 to 15 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Travel** ... Identify and manage stakeholders up to and including top management level, finding out their needs, issues, and concerns...elements of the organization, and define the responsibilities of senior managers, to enable the organization to achieve its… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …information is captured when onboarding new clients. + Provides assistance to senior associates and management for Raymond James Institutional Equity/Options ... Manager Experience - 0 to 3 months **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Travel** Less… more