- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and responsibilities as assigned. **Knowledge of:** + Investments and trading , securities industry regulations, and conflicts of interest. Familiarity/facility with ... Conflicts of Interest and other compliance issues involved with branch manager/FA trading activity. **Skill in:** + Operating standard office equipment and using… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to administer and analyze complex suitability reviews to detect trends, trading patterns and possible rules violations to ensure adherence to securities ... and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. * Detail orientation to ensure… more
- Raymond James Financial, Inc. (Ponte Vedra Beach, FL)
- …securities industry. + Financial markets, products and industry regulations. + Trading terminology. + Client Relationship Management (CRM) software, or similar ... and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. + Analyze and research account… more
- Truist (Orlando, FL)
- …to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems to ... to Team Lead and/or Divisional Sales Management. + Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as… more
- Raymond James Financial, Inc. (Jacksonville, FL)
- …securities industry. * Financial markets, products and industry regulations. * Trading terminology. * Client Relationship Management (CRM) software, or similar ... and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. * Analyze and research account… more