• Citigold CPC WHV Specialist Bilingual English…

    Citigroup (Miami, FL)
    …loop process. + Ensures customer claims and complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and other compliance norms are ... strictly adhered to. + Builds a rapport with clients; utilizes Salesforce regularly for communication of issues/tasks/opportunities. + Builds a rapport with back-office staff and seek out highest level of support from those teams. + Provides timely feedback to… more
    Citigroup (08/13/25)
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  • US Experienced Financial Advisor

    Edward Jones (Tallahassee, FL)
    …the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los ... Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf . Read More About Job Overview **Skills/Requirements** Financial advisors succeed by demonstrating a unique… more
    Edward Jones (08/13/25)
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  • Sr. Cloud Security Engineer - VP

    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 (08/13/25)
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  • Data Security Engineer, Vice President

    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 (08/12/25)
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  • Private Bank Market Executive

    Bank of America (Naples, FL)
    …o Drives an enterprise mindset and referral activity across disciplines **Required Skills:** * FINRA Licenses Required: S7, S66 OR S63 & S65, S24. * Strong business ... judgment and decision making, particularly on issues relating to business selection, risk management, talent and performance management, enterprise partnerships, financial management and problem resolution * Demonstrated track record of delivering business… more
    Bank of America (08/12/25)
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  • Internal Audit Manager - Wealth Management-…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …financial services, products and services, including relevant regulations (eg FINRA , SEC), especially those associated with broker-dealer and registered investment ... advisor business models. + Planning, organizing and conducting audits. + Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner. + Enthusiastic, self-motivated, effective… more
    Raymond James Financial, Inc. (08/09/25)
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  • Supervising Loan Officer

    PNC (Miami, 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
    PNC (08/09/25)
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  • Divisional Director, Advisory Consultants

    TIAA (FL)
    …(Degree) Preferred **Work Experience** + 5+ Years Required; 7+ Years Preferred ** FINRA Registrations** + SRC Indicator: Series 7; Series 63; Series 65; Series ... 66; Series 24 **Physical Requirements** + Physical Requirements: Sedentary Work **Career Level** 9PL Related Skills Business Development, Capital Markets, Client Relationship Management, Client Segmentation, Collaboration, Consultative Communication, Digital… more
    TIAA (08/09/25)
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  • Senior FI Partnerships Manager

    US Bank (Jacksonville, FL)
    …Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank ... Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and… more
    US Bank (08/09/25)
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  • Emerging Markets Mortgage Loan Officer

    PNC (Jacksonville, 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
    PNC (08/09/25)
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