- Bank of America (Miami, FL)
- …Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management ... (FA) business needs, while ensuring adherence to the bank's compliance policies and procedures * Coaches FAs, Client Associates...enterprise risk appetite **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or … more
- Bank of America (Destin, FL)
- …daily operations of a Merrill branch office ensuring appropriate supervision and compliance to industry regulations, and policies and procedures + Driving business ... and appropriately delegating team work. **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65),… more
- Wells Fargo (Sun City Center, FL)
- …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008 and all related… more
- Truist (Tampa, FL)
- …and procedures. Ensure team is aware and understands all changes relating to compliance with industry rules, regulations as well as internal policies and procedures. ... for Investment Advisory accounts. Utilize multiple systems to ensure compliance with firm policies related to advisory account management....with disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66 licenses ( Series… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …managers through the use of various reports and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and platform ... issues. + May participate in the formation of policies related to compliance . + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …enable the organization to achieve its business objectives. + Monitors regulatory compliance with internal and external groups including auditors, FINRA, IRS, SEC ... FINRA), provided that an exemption or grandfathering cannot be applied. + ** Series 99 and Series 7 required,** or ability to obtain within 120 days (as required… more
- TIAA (FL)
- …influences organizational stakeholders and team members to ensure strict adherence to compliance . + Manages and develops performance of team by leading learning ... Experience** + 5+ Years Required; 7+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 7; Series 63; Series 65; Series 66; Series 24… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …documentation standards, templates, and procedures to ensure consistency and compliance . + Monitor regulatory changes and ensure documentation practices align ... Skills:** + Strong understanding of internal controls, risk management, and regulatory compliance in a brokerage or financial services environment. + Proven ability… more
- Veterans Affairs, Veterans Health Administration (Lake City, FL)
- …of clinical competence and conduct for staff which are maintained through compliance with the credentialing and privileging processes, monitoring and evaluation of ... or reassigned to social worker positions in the GS-0185 series in VHA must be licensed or certified by...to have met all qualification requirements for the title, series and grade held, including positive education and licensure… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …solutions to complex problems. **Essential Duties and Responsibilities** + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and ... methods. + Concepts, practices and procedures of securities industry and/or banking compliance , including suitability and other compliance issues involved with… more