- Citigroup (Tampa, FL)
- …key control metrics specific to Issues management , MCA/control effectiveness and audit/ exam performance, EUC management , Regulatory Change Management ... This Operations Business Risk and Control Officer role is in the Risk Mitigation and...role will also work in close partnership with the Regulatory Engagement team on regulatory exam… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to assist in managing audit preparation to ensure compliance with firm and regulatory policies. Ensures remediation of Branch Exam issues identified by ... Investment Central (IC) departments. In conjunction with the Division Supervision Officer , the Field Supervision Manager has accountability for maintaining a… more