- Raymond James Financial, Inc. (Tampa, FL)
- …publication. + Acts as a liaison for all projects with the Marketing and Compliance Depts to develop marketing concepts that align with business strategy and brand ... introductory letters offering services or inviting them to presentations. + If Series 7 licensed: Assist with preparation of presentations and portfolio analyses for… more
- Citigroup (Miami, FL)
- …to be considered, and seek or grant approvals as appropriate. + Ensure compliance on regulatory requirements and minimizes any potential liability for Citi. + Ensure ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...+ Proficiency in Spanish preferred + Required Licensing/Registration: SIE, Series 7, Series 66 (or 63 and… more
- First Horizon Bank (Miami Lakes, FL)
- …and identify the full range of risks related to processes, regulatory compliance , organization, policy, and technology; + evaluate control design adequacy in complex ... and effectiveness of internal controls, risk management practices, and regulatory compliance associated with Treasury and enterprise risk functions. + Perform… more
- JPMorgan Chase (Jacksonville, FL)
- …Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) + ... qualifications, capabilities, and skills** + A valid and active Series 7 license + If you were registered after...Industry Essential (SIE) exam + A valid and active Series 66 (63/65), and Life and Health Insurance license… more
- Bank of America (Jacksonville, FL)
- …**Required Skills:** + 10+ years of industry experience + Series 7 / Series 66 (or ability to obtain within Compliance deadline) + Thorough understanding of ... the Equity industry + Excellent interpersonal and communication skills + Ability to travel up to 30% of the time + Ability to manage complex projects and work with a cross-functional team + Strong leadership traits as the CRM is a visible leader internally.… more
- HSBC (Miami, FL)
- …analysis + Attention to detail and the ability to think creatively to solve problems + Series 7 and 66 licenses, may allow for contingency to obtain Series 7 and ... 66 + Bachelor's Degree required In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the US Applicants must be… more
- Equitable (Tampa, FL)
- …district goals consistent with branch and company strategy + Supervisory skills ensuring compliance and brand are met + Fostering diverse talent and enabling an ... requirements including licensing: State Life and Health, SIE, FINRA Series 7, 66 and have a developed client base...have a developed client base + Must pass FINRA Series 24 exam prior to stepping into leadership +… more
- HSBC (Miami, FL)
- …environment + Degree in Business, Finance or related field or equivalent experience + Series 7 and 66 Licenses, may allow for contingency to obtain Series ... days of acquiring job + Fluency in Portuguese + Fluency in Spanish In compliance with applicable laws, HSBC is committed to employing only those who are authorized… more
- Jr. Davis Construction Company, Inc. (Kissimmee, FL)
- …This individual will be responsible for maintaining and repairing our fleet of Ford F Series Trucks / Chevy Trucks. We are one of the largest heavy highway and civil ... at least 5+ years preferred. Required Knowledge: Ford F Series Trucks / Chevy Trucks + Gas / Diesel...after repair or assembly to ensure proper performance and compliance with manufacturers' specifications. + Maintain clean workspace +… more
- Bank of America (Jacksonville, FL)
- …Self Directed Brokerage. **Required Qualifications:** + FINRA Securities Industry Essentials Examination (SIE), Series 7 & Series 63 licenses + One or more years ... + Business Acumen + Customer and Client Focus + Issue Management + Regulatory Compliance + Active Listening + Oral Communications + Problem Solving + Risk Management… more
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