- Guardian Life (Tallahassee, FL)
- …office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. ... and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with a familiarity of state… more
- Truist (Jupiter, FL)
- …products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 7, 66 (63 and 65 in lieu of 66) and applicable Insurance ... and maintained, or must be obtained within 100-150 days of job entry date. Active FINRA licenses must be transferred within 60 days of job entry date. Must be SAFE… more
- Truist (Orlando, FL)
- …set forth by Truist, the Financial Industry Regulatory Authority ( FINRA ), and other regulatory bodies. QUALIFICATIONS Required Qualifications: The requirements ... professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4. Applicable state health and life insurance licenses,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Knowledge, Skills, and Abilities** **Knowledge of** + Federal Reserve, OCC, FINRA , SEC, and other relevant regulatory guidance + Experienced in the ... + Strong understanding of risk-related regulatory requirements (eg, OCC, FRB, FDIC, SEC, FINRA ) and ability to apply data analytics to risk reporting and risk… more
- Aegon Asset Management (FL)
- …organization. Qualifications + Bachelor's degree in a related field or equivalent business experience. + FINRA Series 6 or 7. + FINRA Series 63 or obtain within ... six months. + Retirement Plans Associate (RPA) or Charted Retirement Plan Counselor (CRPC), or obtain within 12 months. Higher certification (eg CFP, CRC, CEBS, ChFC, CIMA, CRPS) acceptable in lieu of RPA or CRPC. + Three years of financial services or related… more
- Citigroup (Boca Raton, FL)
- …and a goal-oriented team player able to work without direction. + Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or equivalent. ... + Must meet ALL US FINRA Registration requirements within 150 days of starting in the role. + Insurance Group 1 required. + Must meet ALL Insurance Group 1… more
- PNC (FL)
- …should have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) are preferred for this role and/or public ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Wells Fargo (Sarasota, FL)
- …is not eligible for Visa sponsorship. This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a ... to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be… more
- Truist (Weston, FL)
- …accounts. 4. Knowledge of the features and attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority ( FINRA ) Series 7 and Series ... 66 licenses. 6. Exceptional telephone skills and the ability to appropriately interact with clients of all experience levels regarding securities transactions and brokerage accounts. 7. Effective time management skills. 8. Ability to communicate effectively… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …department, Supervision & Supervision management, Compliance & Standards Committee, and FINRA and SIFMA representatives. + Balances conflicting resource and priority ... of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority ( FINRA ); state securities regulatory agencies; Federal Deposit Insurance Corporation… more