- 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
- Insight Global (Tampa, FL)
- …retail communication complies with states and federal laws, state insurance regulations, FINRA and SEC rules and regulations, and internal company standards. In this ... role, you will be managing financial advisor and regulator inquiries through multiple platforms such as a Salesforce que, email, and phone calls to either handle them yourself or escalate to the appropriate team member. You will interpret the impact of laws on… more
- PNC (Coral Gables, 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
- 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)
- …+ CPA preferred + Series 99, or ability to obtain within 120 days (as required by FINRA ), may be required depending on assigned functional area. ... + Present financial operating results with actionable insights to support strategic decision making by the Board and executive leadership. + Lead the design and continuous improvement of billing systems and pricing models to ensure transparency, accuracy and… more
- Charles Schwab (Orlando, FL)
- …wealth management offer. **Throughout the Academy you will** **:** + Study and pass FINRA SIE, Series 7 and 66 licenses + Learn from our numerous mentors, coaches ... and leaders that aim to develop you and your career + Develop consultative skills through a needs-based process to provide helpful and relevant solutions to clients + Create business development opportunities through outbound or inbound calls, in-branch client… 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)
- …be applied. + Series 99, or ability to obtain within 120 days (as required by FINRA ), may be required depending on assigned functional area. **Travel Required:** No ... Resolves and recommends solutions to complex problems. Regular contact with financial reporting executives and teams is required to identify, research, and resolve accounting issues and problems. **Essential Duties and Responsibilities** + Analyze consolidated… more
- PNC (Tampa, 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