- 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
- MUFG (Tampa, FL)
- …Managers (BURMs) and Third-Party Managers (TPMs) to ensure risk program is in compliance with applicable regulations. Keep current on changes in federal and state ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- PNC (Jacksonville, FL)
- …will be collaborative with many different areas within Lending including Compliance , Risk, Pricing, Sales and Operations. Skills required: 1. Empower Configuration ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- PNC (Tampa, FL)
- …and managers. Creates, develops, executes and tracks exception rate policy and compliance . Leads policy enhancements. + Directs pricing inputs into annual planning ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- MUFG (Tampa, FL)
- …+ Ensures adherence to all bank policies and procedures relative to Regulatory Compliance including but not limited to the Bank Secrecy Act, USA Patriot Act, ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Aegon Asset Management (FL)
- …equivalent education/experience. + Ten years of retirement industry or similar experience. + FINRA Series 6 and 63, and Life Insurance License. Or obtain within six ... and subject matter expertise in plan management, including technical, compliance , administration, investment, and participant solutions. + Excellent communication,… more
- Bank of America (Jacksonville, FL)
- …Merrill Lynch Advice Access, and Self Directed Brokerage. **Required Qualifications:** + FINRA Securities Industry Essentials Examination (SIE), Series 7 & Series 63 ... + Business Acumen + Customer and Client Focus + Issue Management + Regulatory Compliance + Active Listening + Oral Communications + Problem Solving + Risk Management… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …* Reviews existing and potential accounting policies for consistency and compliance with Generally Accepted Accounting Principles (GAAP) and SEC requirements. * ... * Series 99, or ability to obtain within 120 days (as required by FINRA ), may be required depending on assigned functional area. **Travel Required:** Yes, 5 %… more
- MUFG (Tampa, FL)
- …staff in achieving and maintaining professional certifications. + Embed regulatory and compliance training into the audit learning curriculum. + Manage the audit ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Bank of America (Tampa, FL)
- …inform them of circumstances that require supervisory attention/review/approval per compliance guidelines and policies + Source prospective clients and capitalize ... development needed to continue a successful career as a Financial Advisor Required Skills: + FINRA Series 7 & 66 (63 & 65 accepted, in lieu of 66) registrations… more