- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ **SIE required** or **ability to obtain within 120 days** (as required by FINRA ), provided that an exemption or grandfathering cannot be applied. + **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 principal-level… more
- Charles Schwab (Delray Beach, FL)
- …role is for you. **What you have** **Required Qualifications:** + A valid and active FINRA Series 7 license required + Obtaining or acquiring FINRA Series 66 ... (63/65) license and Life & Health Insurance as it will be required during your tenure on the job. **Preferred Qualifications:** + Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused client… more
- Citigroup (Jacksonville, FL)
- …63 required). + Ensures customer claims and complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and other compliance norms are ... Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition, Series 66/65 preferred **Education:**… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …cannot be applied, or the ability to obtain within three (3) months of hire. * FINRA Series 86/87 licenses or the ability to obtain within one (1) year of hire. * ... FINRA Series 63 may be required, depending on domicile more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ SIE required provided that an exemption or grandfathering cannot be applied. + FINRA Series 7 or 79 License is ideal, and will be required within six ... (6) months of hire. + FINRA Series 63 or the ability to obtain within six (6) months of hire. **Travel Required:** Yes, up to 20% of the Time more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Responsibilities** + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and platform policies and procedures as they apply to ... the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory agencies; and/or Federal Deposit Insurance… more
- Truist (Orlando, FL)
- …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses (Series 9&10 can be used in lieu ... + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of Available Benefits for Eligible Employees of Truist… more
- PNC (Palm Beach Gardens, FL)
- …may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 and 66 (or 63,65) required. Candidates being ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- JPMorgan Chase (Miami, FL)
- …+ Adhere to and maintain the firm's controls policies and procedures and FINRA regulations as well as protecting client assets against potential fraud activities + ... services, and digital platform. **Required qualifications, capabilities, and skills** + FINRA Securities Industry Essentials, Series 7 and Series 63 licenses… more
- Truist (Ocala, FL)
- …set forth by Truist, the Financial Industry Regulatory Authority ( FINRA ), and other regulatory bodies. QUALIFICATIONS Required Qualifications: The requirements ... in Business, Accounting, Finance or Banking, or equivalent education and related experience. 2. FINRA Series 7, 66 (63 and 65 in lieu of 66) licenses. 3. Applicable… more