- Santander US (Miami, FL)
- …in all regulatory aspects governing the ETD's and Clearing activities in a US Broker Dealer . + Proven track record of managing providers of outsourced services ... + Knowledge of compliance to CIB around execution of controls to minimize the operational risk + Proven experience in providing a project status update with timely priorities and in communicating convincingly to management + Collaborative and communication… more
- Navy Federal Credit Union (Pensacola, FL)
- …outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business ... relationships with members and internal/external sources. + Execute customer and broker purchase/sales orders of securities for current/new clients. + Identify… more
- HUB International (Fort Lauderdale, FL)
- …deliverables + Track plan progress per workflow + Stay up to date with broker dealer /RIA changes and updates + Manage insurance, investment and legal review ... HUB INTERNATIONAL:** Hub International is a leading full-service global insurance broker and financial services firm providing risk management, insurance, employee… more
- JPMorgan Chase (Orlando, FL)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more
- Wells Fargo (Fort Lauderdale, FL)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting of certain incidents. + This position is not eligible for Visa sponsorship. **Posting location:** 350 E Las Olas Blvd FORT LAUDERDALE, FL 33301-4211 **Posting End Date:** 28 Nov… more
- JPMorgan Chase (Jacksonville, FL)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more
- TD Bank (Fort Lauderdale, FL)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Excellent written, verbal and ... analytical skills + Highly motivated, strong attention to detail, team oriented, organized + Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to influence and lead at a senior… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …products. + Advanced principles of banking, trust and finance and securities broker / dealer operations. + Wealth Planning offerings and partnerships, including ... longevity, insurance, and investments relationships. + Detailed and in-depth understanding of Money Guide Pro Elite and Wealth Studios **Skill in** + Excellent problem solving skills to identify the needs of clients through effective questioning and listening.… more
- JPMorgan Chase (Venice, FL)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more
- MUFG (Tampa, FL)
- …financial services industry; previous working experience within Capital Markets, Asset Management, Broker Dealer , Finance, Treasury and or risk management + ... Strong knowledge of Operational Risk Management Programs and frameworks including (but not limited to): RCSA, Loss data, Products and Services, Scenario Analysis, KRM/KRI and Issue Management). + Significant experience managing complex and dynamic Third-Party… more