- Wells Fargo (Miami, FL)
- …for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date if it ... for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 79 must be completed within 90 days of hire date if it is not… more
- Transdev (Jacksonville, FL)
- …to team members in alignment with company policies. + Standards & Compliance : Ensure all maintenance work adheres to company policies, industry regulations, and ... opportunities for cost savings and service delivery improvements. + Safety & Compliance Implementation: Establish and enforce safety policies and procedures in … more
- Citigroup (Boca Raton, FL)
- …referral leads + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures. + Ensure that KYC/AML and other compliance norms ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...without direction. + Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series … more
- JPMorgan Chase (Tampa, FL)
- …and act as a liaison for issue resolution. Review and resolve compliance surveillance inquiries + Provide principal approval for brokerage trade corrections. Review ... for appropriate resolution + Act as liaison for annual compliance branch exam. Work with Market Manager to address...all job duties associated with the role: FINRA SIE, Series 7, 66 (63/65), 9/10 (4,24,53) + A valid… more
- Citigroup (Plantation, FL)
- …referral leads. + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that KYC/AML and other compliance norms ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...work without direction + US: Current Registration for FINRA series 6, 63, and 65 are required for the… more
- First Horizon Bank (Orlando, FL)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... Bachelor's Degree Required. + FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry...requirements of a background credit check. This position requires compliance with the SAFE Mortgage Licensing Act of 2008… more
- Truist (Jupiter, FL)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... * Bachelor's Degree Required * FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …profitability while maintaining a commitment to excellent service. + Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and ... of** + Company's working structure, policies, mission, strategies, and compliance guidelines. + Economic and accounting principles and practices,...that an exemption or grandfathering cannot be applied. + Series 7 and 9 & 10 (or 8) required.… more
- Federal Aviation Administration (Miramar, FL)
- …status reports, and organizational measures in place to ensure timeliness, policy compliance , and overall alignment with the Flight Standards Service. Directs the ... program. Ensures equal opportunity for all employees or applicants through compliance with applicable laws and regulations to eliminate discrimination, harassment,… more
- Citigroup (Miami, FL)
- …applicable **Qualifications:** + Relevant experience in Capital financial industry; compliance /supervisory/business risk experience preferred + FINRA Series 7, ... and escalate to Senior Management and partners including, but not limited to, Compliance , Legal, AML, Regional Business Risk, Regional COO and Sales Management +… more