- Truist (Jupiter, FL)
- …essential functions. * Bachelor's Degree Required * FINRA: Maintains proper licenses including Series 7 , Series 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...and compliance . Works within the existing audit, compliance and regulatory framework in order to ensure a… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 and 9 & 10 (or 8) required. + Series ... profitability while maintaining a commitment to excellent service. + Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and… more
- Citigroup (Miami, FL)
- …experience in Capital financial industry; compliance /supervisory/business risk experience preferred + FINRA Series 7 , 66 (63/65), 24 and 31. Series 9/10 ... and escalate to Senior Management and partners including, but not limited to, Compliance , Legal, AML, Regional Business Risk, Regional COO and Sales Management +… more
- Raymond James Financial, Inc. (Lakewood Ranch, FL)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 and Series 66 or the ability to obtain ... new client development, sales activities, investment management, customer service and compliance with personal and professional growth and development. The Trainee… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to obtain within an established timeframe. + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 , 24, 65 or 66 Required ... across teams and stakeholders. + Collaborate closely with Risk, Legal, Compliance , and PCG to ensure supervisory practices align with regulatory expectations,… more
- Citigroup (Miami, FL)
- …record in relationship selling + Proficiency in Spanish preferred + Required Licensing/Registration: SIE, Series 7 , Series 66 (or 63 and 65) **Education:** + ... to be considered, and seek or grant approvals as appropriate. + Ensure compliance on regulatory requirements and minimizes any potential liability for Citi. + Ensure… more
- JPMorgan Chase (Jacksonville, FL)
- …foster team culture **Required qualifications, capabilities, and skills** + A valid and active Series 7 license + If you were registered after October 1, 2018 ... and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and...Industry Essential (SIE) exam + A valid and active Series 66 (63/65), and Life and Health Insurance license… more
- Bank of America (Jacksonville, FL)
- …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. While… more
- Equitable (Tampa, FL)
- …level Financial Professional meeting requirements including licensing: State Life and Health, SIE, FINRA Series 7 , 66 and have a developed client base + Must ... with branch and company strategy + Supervisory skills ensuring compliance and brand are met + Fostering diverse talent...pass FINRA Series 24 exam prior to stepping into leadership +… more
- Bank of America (Jacksonville, FL)
- …and Self Directed Brokerage. **Required Qualifications:** + FINRA Securities Industry Essentials Examination (SIE), Series 7 & Series 63 licenses + One or ... + Business Acumen + Customer and Client Focus + Issue Management + Regulatory Compliance + Active Listening + Oral Communications + Problem Solving + Risk Management… more