- Bank of America (Naples, FL)
- …policy standards and fiduciary administration policies, as well as risk and compliance standards. The Market Executive is the leader of the market leadership ... o Drives an enterprise mindset and referral activity across disciplines **Required Skills:** * FINRA Licenses Required: S7, S66 OR S63 & S65, S24. * Strong business… more
- PNC (Miami, FL)
- …solutions and refers other banking products and services; reviews documentation to ensure compliance . + Grows, retains and develops an effective sales force to cover ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- TIAA (FL)
- …influences organizational stakeholders and team members to ensure strict adherence to compliance . + Manages and develops performance of team by leading learning ... (Degree) Preferred **Work Experience** + 5+ Years Required; 7+ Years Preferred ** FINRA Registrations** + SRC Indicator: Series 7; Series 63; Series 65; Series… more
- PNC (Jacksonville, FL)
- …solutions and refers products and services. Reviews documentation to ensure compliance . Manages customer pipeline for efficiency. + Collaborates with internal and ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- US Bank (Palm Beach, FL)
- …Advisor or respective specialist. Works proactively to identify potential problems, compliance issues, or fraud to maximize client satisfaction and encourage ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- PNC (Coral Gables, FL)
- …to build and maintain a long-lasting relationship. Monitors client contract for compliance and participates in the negotiations of base contract and contract ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Thrivent Financial (Fort Lauderdale, FL)
- …+ Will and skill to commit to joint field work expectations. + Licensing: + FINRA Series 7, 63/65 or 66 required or obtained within 90 days. + State insurance ... financial advisors that are assigned. + Satisfactory background check and clean compliance record. + Flexibility to travel within the area (may include overnight),… more
- MUFG (Tampa, FL)
- …mitigate software development risks and ensure system regulatory and policy compliance . Promote innovation and continuous improvement. **Qualifications:** + 8+ years ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- MUFG (Tampa, FL)
- …analytics, BI needs to meet business needs, along with regulatory and compliance requirements Perform data preparation work (eg, source, scrub, mine, and integrate ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- JPMorgan Chase (Miami, FL)
- …with extensive credit, loan and deposit products + Bachelor's degree required + FINRA Series 7 & 66 licenses required for position; unlicensed candidates considered ... + Knowledge of account maintenance, loan closing, credit administration and compliance procedures + Ability to communicate sophisticated credit concepts to all… more