- Raymond James Financial, Inc. (St. Petersburg, FL)
- …(as required by FINRA), provided that an exemption or grandfathering cannot be applied. + ** Series 99 and Series 7 required,** or ability to obtain within ... organization to achieve its business objectives. + Monitors regulatory compliance with internal and external groups including auditors, FINRA,...120 days (as required by FINRA). Persons holding Series 6, 7 , 17, 37 or 38… more
- TIAA (FL)
- …**Work Experience** + 5+ Years Required; 7 + Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 65; Series 66; ... influences organizational stakeholders and team members to ensure strict adherence to compliance . + Manages and develops performance of team by leading learning… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ SIE required provided that an exemption or grandfathering cannot be applied. + Required to have a Series 7 , 9, 10 and 63 + Series 24, 53 and 4 can be ... managers through the use of various reports and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and platform… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …required,** or **ability to obtain within 120 days** (as required by FINRA). Persons holding Series 6, 7 , 17, 37 or 38 or those who hold principal-level ... documentation standards, templates, and procedures to ensure consistency and compliance . + Monitor regulatory changes and ensure documentation practices...registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,… 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 ... be required to complete pre-employment requirements (https://www.uscis.gov/i-9-central/form-i-9-acceptable-documents). Effective May 7 , 2025, driver's licenses or state-issued dentification cards that… more
- TECO Energy (Tampa, FL)
- …mitigation of equipment, system and operational failures ensuring safety, compliance , reliability, performance, affordability and resilience of the electric grid. ... utilizing multivariate statistical models and unsupervised learning algorithms, Time Series Analysis and Forecasting, Failure Mode Prediction utilizing classification… more
- Citigroup (Jacksonville, FL)
- …to banking and /or investment operations - including placing unsolicited securities trades ( Series 7 & 63 required). + Ensures customer claims and complaints ... and firm policy. + Ensures that KYC/AML and other compliance norms are strictly adhered to. + Builds a...(Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition,… more
- Citigroup (Jacksonville, FL)
- …to banking and /or investment operations - including placing unsolicited securities trades ( Series 7 & 63 required). + Ensures customer claims and complaints ... and firm policy. + Ensures that KYC/AML and other compliance norms are strictly adhered to. + Builds a...(Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …~ + An equivalent combination of experience, education, and/or training. **Licenses/Certifications** + Series 7 Required, Series 9/10 or 24 license preferred ... solutions to complex problems. **Essential Duties and Responsibilities** + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …* SIE is required, provided that an exemption or grandfathering cannot be applied. * FINRA Series 7 required. * FINRA Series 66 or 63 & 65 required. ... business. * Ensures firm and regulatory policies are followed within compliance standards. * Performs other duties and responsibilities as assigned.… more