- Arena Investors LP (Jacksonville, FL)
- …with the Investment Advisers Act of 1940; . Support the CCO with FINRA broker-dealer requirements; . Monitoring of Client guidelines and restrictions; . Review of ... of excellence while focusing on accuracy and efficiency. . 7 - 10 years of regulatory compliance experience at...Experienced reviewing marketing materials in line with SEC and FINRA rules; . Experienced conducting annual compliance reviews; .… more
- MUFG (Tampa, FL)
- …CFSA, are highly desirable. + Advanced degree preferred. **Skills and Experience:** + 7 + years and/or equivalent of experience in internal audit and/or equivalent of ... applicable regulations, such as DFA Swap Dealer, Volcker and FINRA , SEC and NASD rules. + Experience working with...working with financial industry regulators, including OCC, FRB, and FINRA + Deep knowledge of risk assessment, audit methodology,… more
- Thrivent Financial (Tallahassee, FL)
- …a real impact in your community. Position Requirements: * Securities registration required- SIE, Series 7 and 66 (or 7 , 63 & 65) before contracting * Life, ... be made to complete the process. Fingerprints will be required as part of FINRA registration process for submission to the Federal Bureau of Investigation for review… more
- Edward Jones (Valrico, FL)
- …years of relevant experience in securities/financial services industry preferred + Series 7 and Series 66 required; if not currently registered, registrations may be ... at Edward Jones during the assigned study period + FINRA registrations are required within three months. State insurance...ongoing training offered by the firm and regulatory authorities FINRA and/or SEC Complete required CE training to ensure… more
- Edward Jones (Mount Dora, FL)
- …**Licensing:** + SIE (which can be obtained without Firm sponsorship), Series 7 and Series 66 will be required; if not currently registered, registrations ... Edward Jones during the assigned paid study period. + FINRA registrations required within three months. State insurance licenses...ongoing training offered by the firm and regulatory authorities ( FINRA and SEC), as well as required CE training… more
- MUFG (Tampa, FL)
- …and guidance impacting the TPRM program including OCC, FBR, FDIC, SEC, FFIEC, FINRA ; in addition to other US regulators (eg, NY Department of Financial Services), ... to other TPMs and SRs, as necessary. **Qualifications:** + Bachelor's degree. + 7 + years Third Party Management experience. + Broad view of the financial services… more
- Guardian Life (Tallahassee, FL)
- …office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. ... + Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with...+ Prior examination, auditing or testing experience. + Series 7 ; 24 licenses required or obtained within 120 days.… more
- Citigroup (Boca Raton, FL)
- …solver and a goal-oriented team player able to work without direction. + Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or ... equivalent. + Must meet ALL US FINRA Registration requirements within 150 days of starting in the role. + Insurance Group 1 required. + Must meet ALL Insurance Group… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …applied. + **Series 99 required,** or **ability to obtain within 120 days** (as required by FINRA ). Persons holding Series 6, 7 , 17, 37 or 38 or those who hold ... + **SIE required** or **ability to obtain within 120 days** (as required by FINRA ), provided that an exemption or grandfathering cannot be… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Responsibilities** + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and platform policies and procedures as they apply to ... the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory agencies; and/or Federal Deposit Insurance… more