- Raymond James Financial, Inc. (St. Petersburg, FL)
- …industry. ~or~ * An equivalent combination of experience, education, and/or training. **Licenses/Certifications:** * Series 7 & 24 (or 9/10), and 66 (or 63 and ... and Responsibilities:** * Reviews requests for Outside Business Activities to ensure compliance with firm policy and regulatory rules. * Interfaces with specific… more
- Citigroup (Miami, FL)
- …understand, utilize and learn computer and web based applications **Qualifications and Education** + Licensing: Series 7 & 66 (or 63 & 65) + BA plus relevant ... Help team members to acquire experience and establish credibility with clients ** Compliance Oversight and Controls** + Comply with all regulatory policies and… more
- JPMorgan Chase (Sebring, FL)
- …if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/ 7 , state registration (including 63 or 66 if required) and Life ... options to access their accounts 24 hours a day/ 7 days a week + Adheres to policies, procedures,...completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High… more
- Commander, Navy Installations (Pensacola, FL)
- …needs, challenges and presents recommendations and assistance to influence policy compliance issues. Stays abreast of Department of Defense (DoD), Department of ... in sexual assault cases. Ensures collection of data in compliance with policies and guidance. Provides consultation support for...and from dates. Government positions must include pay plan, series , grade, to and from dates and address of… more
- JPMorgan Chase (Riverview, FL)
- …equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/ 7 , state registration (including 63 or 66 if required), and ... and setting up self-service options to access their accounts 24 hours a day/ 7 days a week. **Job responsibilities** + Delivers an exceptional customer experience by… more
- Veterans Affairs, Veterans Health Administration (Tampa, FL)
- …and equipment sufficient to identify and resolve problems and assure compliance with appropriate requirements. Knowledge of the types of surveillance needed ... & regulations to plan and conduct the surveys of laboratories; assure compliance of CAP and Joint Commission standards; develop & recommend regulations, criteria,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and/or training approved by Human Resources. **Licenses/Certifications: SIE not required + Series 7 securities license preferred + Completion of formal credit ... improvement opportunities and implements best practices to enhance efficiency and compliance + Ensures adherence to all regulatory requirements and internal policies… more
- Citigroup (Jacksonville, FL)
- …team player able to work without direction + Securities Industry Essentials - SIE - Active Series 7 , 66 (or 63 and 65) licenses (required) + Group 1 insurance + ... 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 + Appropriately assess… more
- First Horizon Bank (Tampa, FL)
- …EQUIPMENT:** + Proficiency in Microsoft Office. **CERTIFICATES, LICENSES, REGISTRATIONS (Ex CPA, Series 6 or 7 license, etc.)** + Preferred certifications ... stages of development, maintaining high standards for product quality and compliance with industry standards. + Defines product requirements and roadmap, driving… more
- Citigroup (Boca Raton, FL)
- …team player able to work without direction + Securities Industry Essentials - SIE - Active Series 7 , 66 (or 63 and 65) licenses + Group 1 insurance + This ... 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