- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Monitors regulatory compliance with internal and external groups including auditors, FINRA , IRS, SEC and others. **Knowledge of:** + Company's working structure, ... ability to obtain within 120 days (as required by FINRA ), provided that an exemption or grandfathering cannot be...ability to obtain within 120 days (as required by FINRA ). Persons holding Series 6, 7, 17, 37 or… more
- Arena Investors LP (Jacksonville, FL)
- …with the Investment Advisers Act of 1940; . Support the CCO with FINRA broker-dealer requirements; . Monitoring of Client guidelines and restrictions; . Review of ... regulations; . Experienced reviewing marketing materials in line with SEC and FINRA rules; . Experienced conducting annual compliance reviews; . Experienced managing… more
- MUFG (Tampa, FL)
- …- Dealer and applicable regulations, such as DFA Swap Dealer, Volcker and FINRA , SEC and NASD rules. + Experience working with financial industry regulators, ... including OCC, FRB, and FINRA + Deep knowledge of risk assessment, audit methodology,...background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to manage a variety of litigation matters with a focus on securities matters in FINRA 's arbitration forum and in federal and state courts. Will maintain and manage a ... * Is responsible for managing a portfolio of litigation matters, including FINRA customer arbitrations. * Coordinates with outside counsel in activities as required.… more
- PNC (Rockledge, FL)
- …may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 and 66 (or 63,65) required. Life and Health ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Edward Jones (Valrico, FL)
- …may be obtained at Edward Jones during the assigned study period + FINRA registrations are required within three months. State insurance licenses are also required ... to complete all ongoing training offered by the firm and regulatory authorities FINRA and/or SEC Complete required CE training to ensure license(s) are in good… more
- Edward Jones (Boca Raton, FL)
- …be obtained at Edward Jones during the assigned paid study period. + FINRA registrations required within three months. State insurance licenses will be required. + ... are required to complete ongoing training offered by the firm and regulatory authorities ( FINRA and SEC), as well as required CE training to ensure licenses remain… more
- MUFG (Tampa, FL)
- …of the Comptroller of the Currency (OCC), Financial Industry Regulatory Authority ( FINRA ), Federal Reserve, and the Sound Practices to Operational Resilience + ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Truist (Port Orange, FL)
- …review process as mandated by Financial Industry Regulatory Authority, Inc. ( FINRA ) 5. Strong writing and presentation skills 6. Significant experience planning ... in basic computer applications such as Microsoft Office products Preferred Qualifications: 1. FINRA Series 7, 66 (or 63/65) and Life & Health Insurance licenses 2.… more
- MUFG (Tampa, FL)
- …and guidance impacting the TPRM program including OCC, FBR, FDIC, SEC, FFIEC, FINRA ; in addition to other US regulators (eg, NY Department of Financial Services), ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
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