- MUFG (Tampa, FL)
- …the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities ... listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any. The… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Securities Exchange Commission (SEC); Financial Industry Regulatory Authority ( FINRA ); state securities regulatory agencies; Federal Deposit Insurance Corporation ... (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; state banking regulatory agencies. + Deep understanding of global and domestic… more
- JPMorgan Chase (Weston, FL)
- …Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. ... (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan Chase & Co. Products not available in all states. Chase… more
- MUFG (Tampa, FL)
- …the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities ... listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any. The… more
- MUFG (Tampa, FL)
- …the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities ... listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any. The… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …education, and/or training approved by Human Resources. **Licenses/Certifications** + FINRA Series 7, insurance or other applicable licenses or certifications ... are beneficial. The ability to obtain a necessary license if needed as required by management. + Required: Certified Financial Planner (CFP) and/or Certified Private Wealth Advisor (CPWA) preferred. Other combination of designations and experience approved by… more
- MUFG (Tampa, FL)
- …the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities ... listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any. The… more
- MUFG (Tampa, FL)
- …the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities ... listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any. The… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …of** + Microsoft Office functions (Excel, Word, PowerPoint, Visio is a plus). + FINRA and the SEC and how they oversee RIAs and Broker Dealers. + ... Understandingoffinancial markets and products. + Relationship management software and applications is a plus. + Fundamental concepts, practices, and proceduresofa professional office environment. **Skill in** + Creating process documentation and diagrams. +… more
- PNC (St. Augustine, FL)
- …Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history. ... **California Residents** Refer to the California Consumer Privacy Act Privacy Notice (https://content.pncmc.com/live/pnc/aboutus/HR/Onboarding/PNC\_CCPA\_Privacy\_Disclosure\_Employee.pdf) to gain understanding of how PNC may use or disclose your personal… more