216 compliance jobs found in Tampa, FL

The Compliance Anti Money Laundering Risk Management Officer within the US Personal Bank Cards team is a senior professional level role responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader Anti-Money Laundering (AML) team. The overall objective is to utilize established disciplinary knowledge to identify inconsistencies in data or result and formulate strategic recommendations on policies, procedures, and practices. Responsibilities: Identify, vet and address potential risks or escalated issues with the assistance of functional partners Collaborate with the team to provide advice to business with respect to applicability of policies and implementation of AML program and regulatory changes Provide input/advice on business initiatives, new products, and complex transactions Supervise and participate in internal assurance processes such as Enterprise wide AML risk...

The Chief Data Office within the Independent Compliance Risk Management (ICRM) function oversees the end-to-end data "ecosystem" including data governance, architecture, standards, controls, metrics, Data Concern Resolution Management (DCRM), reporting and risk management. Objectives include improving data governance and management; defining and maintaining the data architecture and standards; increasing business and functional engagement; improving data comprehensiveness, quality and coverage; reducing the inventory of data issues; and accelerating data access and validation for new projects. The team partners with subject matter experts in Compliance, Compliance Technology, the Enterprise Chief Data Office and other groups to drive strategy and remediate concerns. The Data Quality Sr Analyst is a seasoned professional role responsible for leading and overseeing the remediation of data concerns and issues within ICRM. The lead works closely with various departments to identify,...

The Business Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business. Recognized technical authority for an area within the business. Requires basic commercial awareness. There are typically multiple people within the business that provide the same level of subject matter expertise. Developed communication and diplomacy skills are required in order to guide, influence and convince others, in particular colleagues in other areas and occasional external customers. Significant impact on the area through complex deliverables. Provides advice and counsel related to the technology or operations of the business. Work impacts an entire area, which eventually affects the overall performance and effectiveness of the sub-function/job family. Responsibilities: Responsible for managing and supporting multiple risk and control programs for the organization...

The Compliance Anti-Money Laundering (AML) Risk Management Senior Officer is a senior level position responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader AML team. The overall objective is to utilize established disciplinary knowledge to identify inconsistencies in data or result and formulate strategic recommendations on policies, procedures, and practices. Responsibilities: Execute and implement firm-wide AML risk management policy and strategic direction Maintain AML compliance program for the business including assessment of risks and the development of policies, procedures, and governance Identify and assess risk, vulnerabilities, and opportunities for efficient and effective risk coverage Work within team and across business/functional line management to assess complex issues, structure potential solutions, and drive effective resolution within permissible...

Serves as a compliance conduct risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rules, or regulatory expectations. The team is accountable for the design and delivery of a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise, guides business lines & functions to manage their Conduct Risks and meet regulatory expectations. In addition, engages with ICRM product and function coverage teams, in order to partner to develop and apply ICRM program solutions that meet business and customer needs in a manner consistent with the Citi program framework. Key activities include: Serving as a subject matter expert on Citi's Conduct Risk program. Serving on a team of ICRM professionals, supporting the provision of an independent Second Line of Defense approach to risk-based governance and...

Serves as a compliance conduct risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rules, or regulatory expectations. The team is accountable for the design and delivery of a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise, guides business lines & functions to manage their Conduct Risks and meet regulatory expectations. In addition, engages with ICRM product and function coverage teams, in order to partner to develop and apply ICRM program solutions that meet business and customer needs in a manner consistent with the Citi program framework. Key activities include: Serving as a subject matter expert on Citi's Conduct Risk program. Serving on a team of ICRM professionals, supporting the provision of an independent Second Line of Defense approach to risk-based governance and...

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the ICRM Product and Function coverage teams, in order to partner to develop and apply CRM program solutions that meet the function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/business/product and guidance on function/business/product rules/laws and interpretation on internal policies and procedures Responsibilities: Provide material support to Issue Management oversight...

Job Description Bring your expertise to JPMorganChase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class. As a Technology Operational Risk Management Lead within the Tech & Cyber Operational Risk Management team, you will utilize your subject matter expertise in Mainframe and Database technology domains to perform independent risk assessments on the platforms, tools and supporting systems used to deliver these technologies to businesses at the firm. You will proactively identify areas of emerging technologies that introduce operational risk and have a good...

Job Description Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class. As a Technology Operational Risk Management Lead within the Tech & Cyber Operational Risk Management team, you will utilize your subject matter expertise in Mainframe and Database technology domains to perform independent risk assessments on the platforms, tools and supporting systems used to deliver these technologies to businesses at the firm. You will proactively identify areas of emerging technologies that introduce operational risk and have a good...

Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet the function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to operations, financial requirements, and guidance on the supported function/business/product and the associated regulatory rules/laws and interpretation on internal policies and procedures. Responsibilities: Designing,...

Job Description Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class. As a Technology Operational Risk Management Lead, you will need to possess subject matter expertise in Mainframe and Database technology domains. You will perform independent risk assessments on the platforms, tools and supporting systems used to deliver these technologies to businesses at the firm. You will proactively identify areas of emerging technologies that introduce operational risk and have a good understanding of third-party risks as applied to the...

The Data Office within the Independent Compliance Risk Management (ICRM) function oversees the end-to-end data "ecosystem" including data governance, architecture, standards, controls, metrics, Data Concern Resolution Management (DCRM), reporting and risk management. Objectives include improving data governance and management; defining and maintaining the data architecture and standards; increasing business and functional engagement; improving data comprehensiveness, quality and coverage; reducing the inventory of data issues; and accelerating data access and validation for new projects. The team partners with subject matter experts in Compliance, Compliance Technology, the Chief Data Office and other groups to drive strategy and remediate concerns. The Data Quality Lead is a seasoned professional role responsible for leading implementation and monitoring execution of data quality controls within ICRM, overseeing investigation and remediation of detected breaks and driving...

Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world. With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career. Join MUFG, where being inspired is expected and making a meaningful impact is rewarded. The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more...

Group Overview: The Client Reporting Oversight (CRO) team within the Data & Regulatory Operations organization owns governance and oversight of client reporting functions including trade confirmations, product prospectuses, and client statements, ensuring they are generated and delivered in an accurate, timely and controlled manner while meeting regulatory and service requirements. Additional responsibilities include conducting the 17a-13 quarterly security counts. The Compliance Business Control Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business. Recognized technical authority for an area within the business. Requires basic commercial awareness. There are typically multiple people within the business that provide the same level of subject matter expertise. Developed communication and diplomacy skills are required to guide, influence, and...

SUMMARY The VP, Senior Compliance Officer serves as a Chief Compliance Officer (CCO) to trusts of mutual funds and closed-end fund clients of Ultimus Fund Solutions (UFS) in support of the funds' Rule 38a-1 compliance program obligations. This includes maintaining the Rule 38a-1compliance policies and procedures for assigned trusts to satisfy all legal and regulatory requirements, performing annual reviews thereon and meeting with the Board of Trustees and Directors for assigned trusts, which include series trusts. Additionally, the VP, Senior Compliance Officer and Senior Compliance Officer typically will be assigned to serve as CCO to larger trusts or those with more complicated strategies than a Compliance Officer. KEY ACCOUNTABILITIES Conducts the trust's annual compliance program review, reports the findings, proposes procedural changes to management, and ensures any changes are implemented in a timely fashion. Identifies and corrects deficiencies in compliance processes...

T.J. Jerger MGA, LLC. is growing and we are in search of an experienced VP of Compliance to join our team! The VP of Compliance helps the organizations manage risks and avoid lawsuits by ensuring business operations are performed in compliance with state and federal laws. Who are we? Started in 2006, TJ Jerger is the Managing General Agency for American Traditions Insurance Company, the largest writer of manufactured home insurance in Florida. T.J. Jerger and ATIC are part of the Jerger family of companies. Why work with us? We are a family-oriented organization committed to providing competitive compensation and benefit packages to our employees including: Medical, Dental, Vision, starting day 1 of employment Multiple plans to choose from in order to fit your needs 401k plan available with 100% match up to 4% with immediate vesting Generous PTO and paid holiday schedule 1 day of paid volunteer time off per year Onsite workout facility Casual dress code...

Job Title: VP of Compliance Employment Type: Full Time, 40 hours/week Reports to: General Counsel FLSA Status: Exempt Who We Are LIFE SURGE is a leading company in the industry of faith-based live events and financial education programs. One of the fastest growing organizations in the country, LIFE SURGE exists to inspire, transform and equip people to build their personal impact in ways that glorify God.By annually producing 20+ events and providing financial education to thousands around the nation, we do just that. We are a team of experienced professionals who are passionate about helping people learn, grow, and connect so they may live more enriched lives. Our culture is one where we celebrate one another, individually and as a team. We look to acknowledge and reward our star performers. Let your light shine in our company! Opportunity The Vice President of Compliance will be responsible for further developing, implementing, and overseeing all...

The Non-Employee Staffing Office is a centralized team supporting Citi businesses to identify the non-employee talent, quickly, efficiently and at the right price point. The program uses best in class service to recruit staff augmentation resources from preferred third parties and supports the onboarding of all non-employee classifications through standardized processes to mitigate risk for the Franchise. The Non-employee Oversight Program establishes risk management principles and practices Citi businesses and functions must consider when engaging non-employees. The Oversight team implements standards, monitors and reports on the health of non-employee management activities. As part of the Non-employee Oversight team, deliver timely and sustainable solutions on cross franchise non-employee oversight initiatives Establish standards and guardrails to ensure managers understand their obligations when supervising Non-employees Manage Non-employee Investigation in collaboration...

The Global Head of Critical Parent Supplier Program is accountable for management of complex/critical/large professional disciplinary areas. Leads and directs a team of professionals. Requires a comprehensive understanding of multiple areas within a function and how they interact in order to achieve the objectives of the function. Applies in-depth understanding of the business impact of technical contributions. Strong commercial awareness is a necessity. Generally accountable for delivery of a full range of services to one or more businesses/ geographic regions. Excellent communication skills required in order to negotiate internally, often at a senior level. Some external communication is necessary. Accountable for the end results of an area. Exercises control over resources, policy formulation and planning. Primarily affects a sub-function. Involved in short- to medium-term planning of actions and resources for own area. Full management responsibility of a team or multiple teams,...

The Securities & Derivatives Sr Manager is a senior management level position responsible for accomplishing results through the management of a team or department in an effort to process orders and transactions originating from trading desks and branch offices in coordination with the Operations - Transaction Services team. The overall objective of this role is to ensure the seamless delivery of securities and derivatives transactions. The Agency Lending Ops works closely with the Agency Lending Product team, Desk, Client Executives and Custody Partners to ensure client needs are met in a timely manner. The Controls team within Agency lending Ops is tasked with managing Broker Billing and collections, Lender Payment processing, and reconciliation of Principal and Income accounts. The main responsibility of this role is the daily collection of amounts receivable, and production of monthly billings. Responsibilities: Develop and implement business initiatives, client...