- Raymond James Financial, Inc. (St. Petersburg, FL)
- …knowledge of:** + Concepts, practices, and procedures of the securities industry, broker / dealer compliance and/or branch exams + Rules and regulations of ... the SEC, FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and procedures used in the securities industry + Financial markets and products **Skill in:** + Thorough and balanced documentation of work product + Clear,… more
- Guardian Life (Tallahassee, FL)
- …needs of prospects and clients and drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities) to drive revenue through PAS's multifaceted ... product platform. + Educate producers, so they can effectively convey advanced planning recommendations to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… more
- Truist (Orlando, FL)
- …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... supervisory functions mainly focus on the review and acceptance of new accounts introduced to the firm, money movement and trade corrections. Responsible for following regulatory policy as a Registered Principal for the firm. **Essential Duties and… more
- Truist (Tampa, FL)
- …and managerial functions that are routinely associated with those of a retail broker / dealer and RIA. **Essential Duties and Responsibilities** + Manage a team ... of 4 - 10 Supervisors. + Provide coaching and focused training for team as needs are identified. + Supervisory responsibility for Investment Advisory accounts. Utilize multiple systems to ensure compliance with firm policies related to advisory account… more
- Insight Global (Tampa, FL)
- Job Description A large broker - dealer and registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the ... securities brokerage and investment advisory organizations. This person ensures that all retail communication complies with states and federal laws, state insurance regulations, FINRA and SEC rules and regulations, and internal company standards. In this role,… more
- TD Bank (New Smyrna Beach, FL)
- …the expertise of other **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... Laws. May (or may not) be a registered position under FINRA. + Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to… more