- USAA (Tampa, FL)
- …maintenance or ability to acquire within 90 days of hire. + Required maintenance of FINRA Series 7 license. + Required maintenance of FINRA Series 66 (or 63 ... effectively identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures. **What you have:** + High School Diploma… more
- Veterans Affairs, Veterans Health Administration (Miami, FL)
- …recorders for precise measurement of airway obstruction, thoracic gas volume, compliance , and other parameters. Operates a computerized system for the measurement ... 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
- Citigroup (Miami, FL)
- …improvements and generates new ideas to streamline processes/transactions. **Qualifications and Education:** + Series 7 & 63 licenses for US based employees + ... service and problem resolution + Ensure adherence to all internal policies and compliance to legal and regulatory requirements + Process all client transactions and… more
- First Horizon Bank (St. Petersburg, FL)
- …EQUIPMENT SKILLS** Microsoft Office Suite, Salesforce **CERTIFICATES, LICENSES, REGISTRATIONS** (Ex: CPA, Series 6 or 7 license, etc) None required. **Hours** : ... and product knowledge meetings, training classes, and web-based learning. Compliance and risk management + Expected compliance ...+ Monday - Friday + 7 :45 AM - 5:15 PM As part of the… more
- Wells Fargo (Miramar Beach, FL)
- …education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) ... appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the financial services industry. + ~OR ~ + An equivalent combination of experience, education, and/or training. **Licenses/Certifications:** + Series 7 preferred ... thereby limiting firm liability. Conduct internal reviews to ensure compliance with regulatory requirements and internal policies, including potential conflicts… more
- Truist (Jupiter, FL)
- …for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 7 , 66 (63 and 65 in lieu of 66) and applicable Insurance ... centers of influence who will enhance business development efforts. 7 . Work within existing audit, compliance and regulatory framework in order to ensure a high… more
- Neuberger Berman (FL)
- …degree required, graduate degree a plus. + CIMA, CAIA, or CFA designations a plus. + SIE, Series 7 , 66, 31 or SIE, 7 , 63, 65, 31 licenses. \#LI-JG3 ... Alternative Specialists, ETF Strategists, and other members of distribution, legal, compliance , and investments. + Maintain knowledge of Neuberger Berman products… more
- Truist (Tampa, FL)
- …from time to time. List the major responsibilities generally associated with the role (5- 7 major responsibilities with no more than 10) that an incumbent in this job ... into a collaborative and on-going portfolio management and client communication cycle. 7 . Based on investment reviews with HNW clients, recommend, establish, monitor… more
- Veterans Affairs, Veterans Health Administration (Ocala, FL)
- …organization (HRO) with safety and quality of the Veteran Ensures compliance with accreditation and regulatory standards, educating staff on survey readiness ... in strategy planning and execution Maintains knowledge and ensures compliance with all regulatory and accreditation standards, directives, policies, and… more