- 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
- 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
- ADP (Maitland, FL)
- …pertinent industry data. **QUALIFICATIONS REQUIRED:** + 2+ years successful sales experience. + FINRA Series 6 and 63 licensing is required, but candidates with a ... great sales acumen and a financial background will be considered pending appropriate licensing within the first 30 days of employment. \#LI-CS5 **PREFERRED QUALIFICATIONS:** Preference will be given to candidates who have the following: + _A college degree is… more
- City National Bank (Lake Mary, FL)
- …Qualifications** * Minimum 4 years of experience in Investment Management * FINRA Series 7 and 66 securities or ability to obtain *Additional Qualifications* ... * Masters Degree preferred * Think and act like a PM; stand in as the PM - team, client, and advisor facing; mindset of serving clients and advisors * Well-versed on RBC Rochdale investment products, macro-economic environment, and able to tell the RBC… more
- Truist (Orlando, FL)
- …risk-related matters, including directly interfacing with external parties including the FRB, FINRA , OCC, State Regulators and other third party auditors. 6. Strong ... analytical and organizational skills and extensive experience designing, developing, implementing and executing a business continuity/disaster recovery program 7. Excellent interpersonal skills demonstrating the ability to interact with all levels of… more
- Bank OZK (Clearwater, FL)
- …training and education on fiduciary standards such as ERISA, UPMIFA, and SEC/ FINRA rules for staff members. + Ensure fiduciary compliance for all institutional ... accounts and plans. + Chair or participate in internal committees related to plan governance, investment selection, and performance review. + Maintain alignment with the Bank's Trust Committee policies and procedures. + Performs other duties as assigned.… more
- USAA (Tampa, FL)
- …through military service or a military spouse/domestic partner + Current / Active FINRA Series 7 + Current / Active Life/Health license + CFP (Certified Financial ... Planner), CLU (Chartered Life Underwriter), or RICP (Retirement Income Certified Professional) designations + 10 or more years of experience with wholesaling, sales training, and coaching on financial service products. + Previous leadership experience with… more
- 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 (Tampa, 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
- 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