- 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
- Coinbase (Tallahassee, FL)
- …adopt additional features, services, and products. What we look for in you (ie. job requirements): * FINRA License series 7 and 63 * FINRA License 24 OR 9 AND 10 ... Wealth Management, Corporate Finance, Asset Management, FinTech or Crypto. Nice to haves: * FINRA License Series 3, 4, 65, or 66. * High level of proficiency in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ **Series 99 required,** or **ability to obtain within 120 days** (as required by FINRA ). Persons holding Series 6, 7, 17, 37 or 38 or those who hold ... procedures + Compiles operational information for internal and external auditors (eg FINRA , SEC) with limited oversight + Plans and executes remediation efforts for… 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
- Thrivent Financial (Daytona Beach, FL)
- …or equivalent experience. Military veterans are encouraged to apply. + Attainment of FINRA SIE, life and health licenses (licensed role only) before contracting. + ... are credentialed to provide investment advisory services. Visit Thrivent.com or FINRA 's Broker Check for more information about our financial advisors. Thrivent… more
- PNC (Orlando, FL)
- …may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7, 24 (or 9,10) and 66 (or 63,65) required. ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Licenses/Certifications** + SIE or ability to obtain within 120 days (as required by FINRA ), may be required depending on assigned functional area. + Series 99, or ... ability to obtain within 120 days (as required by FINRA ), may be required depending on assigned functional area. SIE not required prior to employment more
- Edward Jones (Pensacola, 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
- PNC (Fort Lauderdale, 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
- TD Bank (West Palm Beach, FL)
- …and Firm policies related to all business activities (eg, OCC, SEC, FINRA etc.); ensures all Continuing Education requirements are attained + Responsible for ... communication skills + Criminal and financial background investigation is required pursuant to FINRA Rule 3010(e) and successor regulations **Who We Are:** TD is one… more