- Raymond James Financial, Inc (St. Petersburg, FL)
- …Primary job responsibilities include reviewing the design of SOX and other internal controls , conducting risk assessments, and working with both internal and ... deficiency remediation* Prepares SOX documentation including process flows, narratives, risk assessments and risk and controls...business units and IT on topics such as SOX compliance , IT automated controls , IT general … more
- Raymond James Financial, Inc (St. Petersburg, FL)
- …and identifies opportunities for improvement in the design and effectiveness of compliance controls .* Directs adjustments to existing programs, policies, and ... are designed and operating as intended and commensurate with the level of risk being mitigated. Coordinates compliance functions, guides compliance efforts,… more
- Raymond James Financial, Inc (St. Petersburg, FL)
- …and identifies opportunities for improvement in the design and effectiveness of compliance controls .* Identifies changes and assist with managing the execution ... concurrently from planning through reporting and produces quality deliverables.* Collaborates across Compliance teams to maintain a risk -based Compliance … more
- Raymond James Financial, Inc (St. Petersburg, FL)
- …by developing audit programs.* Propose audit objectives, scope, procedures and internal control reviews to ensure compliance with policies and procedures.* ... and conducting audits.* Identifying key business processes.* Identifying and documenting risk management issues.* Testing key controls within business… more
- Raymond James Financial, Inc (St. Petersburg, FL)
- …of the Financial Crimes Management (FCM) team to identify fraud trends, control enhancement opportunities and perform root cause analysis of non-detected activities. ... Crimes Analytics (FCA), the Director will regularly interact with Enterprise Fraud Risk Management and Technology teams during the design and testing of new… more
- Raymond James Financial, Inc (St. Petersburg, FL)
- …partners. Designs, leads, and drives process improvement initiatives which reduce risk and add directly to the department's profitability.Essential Duties and ... funds on the AIG platform, compare the funds' infrastructure and control environment against industry standards, and make written recommendations on potential… more
- Raymond James Financial, Inc (St. Petersburg, FL)
- …of the Financial Crimes Management (FCM) team to identify fraud trends, control enhancement opportunities and perform root cause analysis of non-detected activities. ... Financial Crimes Analytics (FCA), the Manager will regularly interact with Enterprise Fraud Risk Management and Technology teams during the design and testing of new… more
- Raymond James Financial, Inc (St. Petersburg, FL)
- …Laundering (AML) transaction monitoring, customer/transaction screening, fraud detection/prevention, emerging risk , customer risk scoring, and elder financial ... will regularly interact with federal and state regulators, vendors, Model Risk Management (MRM), Audit, Raymond James enterprise technology functions and… more
- Raymond James Financial, Inc (St. Petersburg, FL)
- …more senior product manager, collaborate with Cross Border strategy & supervision and compliance to support risk management in pricing models and product ... of banking & finance and securities industry operations including finance , accounting, budgeting, and cost control procedures.* Fundamental concepts,… more
- Citigroup, Inc (Tampa, FL)
- …Citi's Vision of growth and economic progress. As a group, we partner with the Finance , Risk , Compliance , and Human Resources teams to drive the delivery ... the latest technologies and design patterns.Provide strategic influence and exercise control over team resources, budget management and planning, while monitoring… more
- Citigroup, Inc (Tampa, FL)
- …Citi's Vision of growth and economic progress. As a group, we partner with the Finance , Risk , Compliance , and Human Resources teams to drive the delivery ... our platforms provide a first-class customer experience. Our operations teams manage risk , resources, and program management. We focus on enterprise resiliency and… more
- USAA (Tampa, FL)
- …experience when conducting engagements as the Auditor-in-Charge (AIC).Develops and independently updates risk & control matrix at the engagement level for each ... business action plans. Communicates effectively with the business/clients and delivers risk -based and difficult messages regarding issues and control weaknesses… more
- MUFG Bank, Ltd. (Tampa, FL)
- …negative trends or escalation itemsORM SME reviewer for Product & Services risk assessmentsPerform sample-based framework compliance testing (e,g, QA, testing or ... execution calendarSupport other initiatives periodically assigned by the Operational Risk leadership teamQualifications:A Bachelor degree in Business, Finance ,… more
- Citigroup, Inc (Tampa, FL)
- …and reporting control issues with transparency.Providing middle office Trade Finance support and connecting Product, Credit Risk , Legal and Operations ... risk , operations, legal, etc.Ensure that quality of data, controls and processes performed meet internal policies and regulatory...loan operations to define and implement operational metrics and risk and control reviews to ensure all… more
- Citigroup (Tampa, FL)
- …a senior compliance finance risk officer responsible for assessing compliance risks and controls implemented by the first and second line of defense. ... effectiveness of key controls designed to address compliance risk ; reporting and escalating control...programs within an assigned region in accordance with the Finance Risk Plan. + Leading the execution… more
- Citigroup (Tampa, FL)
- …framework and guidance by partnering with key stakeholders from the Businesses, Middle office, Finance , Risk , etc. + Assess compliance of Booking related ... build a network across senior Citi stakeholders including Businesses, Finance , and Risk The role requires: +...requires: + Experience in process design and improvement + Risk and control mindset + Ability to… more
- Citigroup (Tampa, FL)
- …individual contributor position accountable for the end-to-end controls testing of Finance Controls including, Control Test Planning, Control ... (Managers Control Assessment) Frameworks and processes. The Finance Controls Testing Team Analyst follows the...(CDA), by executing CDA checklist/procedures for finance controls and recording of results in Citi Risk… more
- Citigroup (Tampa, FL)
- …Finance Controls Testing Head and is accountable for the end-to-end testing of Finance Controls including Control Test Planning, Control & Tool ... (Managers Control Assessment) Frameworks and processes. The Finance Controls Testing Team Leader manages a... test transitioning and training for team. + Represents Finance Control Testing in Operational Risk… more
- Citigroup (Tampa, FL)
- The Business Risk and Control Sr Officer I...a sub-function. This position will be part of Citi Finance 's Chief Operating Office - Controls global ... Policy Document lifecycle, the role is responsible for ensuring Finance 's compliance with Corporate Policy Document requirements,...Family Group:** Risk Management **Job Family:** Business Risk & Control **Time Type:** Full time… more
- Citigroup (Tampa, FL)
- … associated with business changes. + Support in dealing with Operational and Compliance Risk and data governance in accordance with established Policy ... position is part of the MCA team covering entire Risk D&T governance and controls . **Responsibilities:** +...and the facilitation of the execution of the Manager Control Assessment (MCA, ie Risk & … more
