- Truist (Tampa, 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
- MUFG (Tampa, FL)
- …and guidance impacting the TPRM program including OCC, FBR, FDIC, SEC, FFIEC, FINRA ; in addition to other US regulators (eg, NY Department of Financial Services), ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Responsibilities** + Execution of the risk-based branch exam program in FINRA -registered and non-registered Private Client Group branches across the country + ... compliance and/or branch exams + Rules and regulations of the SEC, FINRA , and state securities regulatory agencies + Fundamental investment concepts, practices, and… more
- Truist (Tampa, 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 ... experience + Experience with Envestnet, NFS/Wealthscape, Protegent/Prosurv platforms. + FINRA Series 4 license **General Description of Available Benefits for… more
- 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 registrations:… more
- Citigroup (Miami, 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 (Largo, 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
- 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory agencies; and/or Federal Deposit Insurance ... Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies. + Fundamental investment… more
- JPMorgan Chase (Miami, FL)
- …if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life ... licenses are required - or must be successfully completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High school degree, GED, or foreign equivalent + Adherence to policies, procedures, and regulatory banking… more