- Equitable (Tampa, FL)
- …district goals consistent with branch and company strategy + Supervisory skills ensuring compliance and brand are met + Fostering diverse talent and enabling an ... meeting requirements including licensing: State Life and Health, SIE, FINRA Series 7, 66 and have a developed client...and have a developed client base + Must pass FINRA Series 24 exam prior to stepping into leadership… more
- Navy Federal Credit Union (Pensacola, FL)
- …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate account ... offerings. + Develop an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures. + Establish, maintain,… more
- Charles Schwab (Tampa, FL)
- …execution that is being provided to SWAI clients. This includes performing the compliance and administrative tasks inherent in our industry. **What you have** We ... employment) + Bachelor's Degree required + Active and valid FINRA Series 7 license required + Active and valid... Series 7 license required + Active and valid FINRA 66 license required (may consider a 120-day COE)… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …business. * Ensures firm and regulatory policies are followed within compliance standards. * Performs other duties and responsibilities as assigned. ... required, provided that an exemption or grandfathering cannot be applied. * FINRA Series 7 required. * FINRA Series 66 or 63 & 65 required. * Insurance License… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …regulatory compliance with internal and external groups including auditors, FINRA , IRS, SEC and others. **Knowledge of:** + Company's working structure, ... ability to obtain within 120 days (as required by FINRA ), provided that an exemption or grandfathering cannot be...ability to obtain within 120 days (as required by FINRA ). Persons holding Series 6, 7, 17, 37 or… more
- MUFG (Tampa, FL)
- …significance and impact on risk and/or risk management practices. + Maintain compliance with audit methodology, while also operating within industry best practices, ... applicable regulations, such as DFA Swap Dealer, Volcker and FINRA , SEC and NASD rules. + Experience working with...working with financial industry regulators, including OCC, FRB, and FINRA + Deep knowledge of risk assessment, audit methodology,… more
- Wells Fargo (Sarasota, FL)
- …in a dynamic and complex environment **Job Expectations:** + Specific compliance policies may apply regarding outside activities and/or personal investing; affected ... is not eligible for Visa sponsorship. This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …branch managers through the use of various reports and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and ... issues. + May participate in the formation of policies related to compliance . + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and… more
- Truist (Tampa, FL)
- …and procedures. Ensure team is aware and understands all changes relating to compliance with industry rules, regulations as well as internal policies and procedures. ... responsibility for Investment Advisory accounts. Utilize multiple systems to ensure compliance with firm policies related to advisory account management. Focus on… more
- Citigroup (Miami, FL)
- …referral leads + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures. + Ensure that KYC/AML and other compliance norms ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...able to work without direction. + Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR… more