- 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
- Siebert Williams Shank (West Palm Beach, FL)
- …Contribute to process improvements and technology build-out for electronic trading. Qualifications + FINRA Series 7 and 63 required. + Minimum 5 years of relevant IG ... credit trading experience. + Deep working knowledge of ECN platforms (MarketAxess, TradeWeb, Bloomberg ALLQ). + Strong risk management skills and ability to manage a balance sheet in size. + Experience covering both Tier 1 and middle-market institutional… 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
- 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
- Bank of America (Boca Raton, FL)
- …development needed to continue a successful career as a Financial Advisor Required Skills: + FINRA Series 7 & 66 (63 & 65 accepted, in lieu of 66) registrations ... required with 5+ years' experience + Established and portable practice with a minimum of $1MM in production + Experience managing client portfolios and driving growth + Proven relationship building and business development skills Desired Skills: + Bachelor's… more
- JPMorgan Chase (Tampa, FL)
- …of MS Office, Word, Excel, andPowerPoint. + Frequent travel is required. + FINRA Series 7, 63 **Preferred qualifications, capabilities and skills** + CFA, CAIA ... JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the JP Morgan and Chase… more
- Bank of America (Tampa, FL)
- …AML, Risk, or Compliance experience and/or knowledge of financial crimes typologies + FINRA licenses including the SIE or Series 7 at minimum, or related experience ... + Demonstrates an understanding of introducing broker and institutional Brokerage Services, and or alternative investments/large portfolio management + Knowledge related to retail and/or institutional brokerage products and services and applicable compliance… 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)
- …and influence decision-making. + Collaborative, fast-paced environment with room to grow. **Added Bonus** + FINRA SIE and Series 99 - _Preferred, but not required._ ... In office days will be 3 per week averaging 12 days per month in one of the following locations: St. Petersburg, FL, Memphis, TN, or Southfield, MI. **About the Role** We're looking for a strategic thinker and data-driven problem solver to join our Risk… more