- 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. + Investment concepts, practices and procedures… more
- PNC (Orlando, 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 (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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …infrastructure. + Privacy risk management. + Relevant risk based regulatory schemes. + FINRA , SEC, FRB and other regulations relevant to management of privacy. + ... Compliance and legal procedures in the financial services industry. + Concepts, practices, and procedures of the financial services industry. **Advanced skill in:** + Written and verbal communications skills sufficient to professionally address a wide 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
- 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
- Santander US (Miami, FL)
- …in communicating convincingly to management + Collaborative and communication skills **Certifications:** FINRA Series 99 mandatory or ability to obtain it within 6 ... months of joining the firm. **It Would Be Nice For You To Have:** Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education. _This is a hybrid position in Miami, FL._ **What Else You… 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
- JPMorgan Chase (Miami, FL)
- …with extensive credit, loan and deposit products + Bachelor's degree required + FINRA Series 7 & 66 licenses required for position; unlicensed candidates considered ... but required to obtain licenses within 90 days of start date + Prior experience structuring creative and complex credit transactions + Completion of formal credit training program + Demonstrated understanding of wealth management including, but not limited to:… 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