- 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
- Veterans Affairs, Veterans Health Administration (Miami, FL)
- …recorders for precise measurement of airway obstruction, thoracic gas volume, compliance , and other parameters. The Incumbent operates a computerized system for ... 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
- Regions Bank (The Villages, FL)
- …Standards act and is not eligible for overtime pay. This position is incentive eligible. **Requirements** + Series 7 + Series 63 & 65 or Series 66 + ... level staff informed about investment products and opportunities + Adheres to compliance requirements and follow corporate and industry protocols This position is… more
- JPMorgan Chase (Tampa, FL)
- …industry + Licenses required to perform all job duties associated with the role: FINRA SIE, Series 7 , 66 (63/65), 9/10 (4,24,53) + A valid Series 4 is ... and act as a liaison for issue resolution. Review and resolve compliance surveillance inquiries + Provide principal approval for brokerage trade corrections. Review… more
- Raymond James Financial, Inc. (Tampa, FL)
- …clients introductory letters offering services or inviting them to presentations. + If Series 7 licensed: Assist with preparation of presentations and portfolio ... a liaison for all projects with the Marketing and Compliance Depts to develop marketing concepts that align with...training as approved by Human Resources. **Licenses/Certifications** + FINRA Series 7 Preferred + SIE required provided… more
- First Horizon Bank (Miami Lakes, FL)
- …Auditors (IIA) Standards Certification or License required (CIA, CISA, CPA, CFA, CRCM, CIFRS, Series 6, 7 , or 24, etc.). Prior experience at a large, complex ... the full range of risks related to processes, regulatory compliance , organization, policy, and technology; + evaluate control design...or License required (CIA, CISA, CPA, CFA, CRCM, CIFRS, Series 6, 7 , or 24, etc.) or… more
- Transdev (Jacksonville, FL)
- …to meet DOT, client, and company standards. Operating within a 24/ 7 maintenance facility, the Maintenance Manager ensures all scheduled maintenance, testing, ... members in alignment with company policies. + Standards & Compliance : Ensure all maintenance work adheres to company policies,...school diploma, GED, or equivalent required. + Minimum of 7 years of experience in the repair and maintenance… 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… more
- Citigroup (Boca Raton, FL)
- …+ Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or equivalent. + Must meet ALL US FINRA Registration requirements ... Manage client follow-up and adhere to all Regulatory and Compliance operating procedures. + Ensure that KYC/AML and other... operating procedures. + Ensure that KYC/AML and other compliance norms are strictly adhered. + Partner with all… more
- Citigroup (Plantation, FL)
- …for FINRA series 6, 63, and 65 are required for the role. Individuals with Series 7 and 66 or equivalent are encouraged to apply. + Insurance group 1 ... Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that KYC/AML and other... operating procedures + Ensure that KYC/AML and other compliance norms are strictly adhered to + Partner with… more