- Raymond James Financial, Inc. (Lakewood Ranch, FL)
- …years of rich history and recognition for service and excellence in the Financial Services industry, Raymond James is seeking a dynamic Registered Client ... Service Associate who is a motivated, detail oriented and...3 years **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), s63 -… more
- Raymond James Financial, Inc. (Fort Myers, FL)
- …s10 - General Securities Sales Supervisor - General Module Examination - Financial Industry Regulatory Authority (FINRA), s63 - Uniform Securities Agent ... of team/personal objectives. Supervise a team providing administrative and service operations support and have deep expertise in the...State Law Examination - Financial Industry Regulatory Authority (FINRA), S65 -… more
- MUFG (Tampa, FL)
- …or risk management experience and/or equivalent experience with the financial services industry, related markets, and related regulatory agencies. + Minimum ... (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association… more
- PNC (Tampa, FL)
- …In your role, you will continuously draw upon your knowledge of the financial services industry, compliance regulations, research and monitoring techniques and ... Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of… more
- Raymond James Financial, Inc. (West Palm Beach, FL)
- …college or university, and a minimum of three (3) years experience in a financial services firm, or an equivalent combination of experience, education, and/or ... - 6 to 10 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 63_AG - Agent - … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and a minimum of eight (8) years of experience in Supervision and/or the financial services industry. ~or~ * An equivalent combination of experience, education, ... methods. + Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and meeting minutes. + Monitors and keeps up to date with regulations regarding financial services and applies them accordingly. + Provides critical challenge as ... and Abilities:** **Knowledge of:** + Drafting policies or procedures related to the financial services industry. + Fundamental investment concepts as well as a… more
- Raymond James Financial, Inc. (Boca Raton, FL)
- …years of rich history and recognition for service and excellence in the Financial Services industry, Raymond James is seeking a dynamic Registered Client ... Service Associate who is a motivated, detail oriented and...12 months **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 63_AG… more
- MUFG (Tampa, FL)
- …strong subject matter expertise in third-party and outsourcing risk management in financial services or other heavily regulated industries is preferred. This ... the SEC, other US regulators (eg, NY Department of Financial Services ), and foreign-based regulators (eg, Japan's...not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to 3 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 99_OS-Operations Professional - ... and offsite training activities to help drive high quality service and performance + Prepares training materials, or assists... Financial Industry Regulatory Authority (FINRA) **Travel** Less than 25% **Workstyle** Hybrid… more