• Wealth Advisor III - Palm Beach / Boca Raton

    Truist (Fort Lauderdale, FL)
    …functions. * Bachelor's Degree Required * FINRA : Maintains proper licenses including Series 7 , Series 66, the Securities Industry Essentials (SIE) Exam ... as applicable Life, Health, and Variable insurance licenses. Ensures that appropriate continuing education requirements are met where needed * 8 or more years of sales and client management experience in Wealth Management and a demonstrated ability to manage a… more
    Truist (09/01/25)
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  • Private Client Relationship Manager

    First Horizon Bank (Orlando, FL)
    …+ Bachelor's Degree Required. + FINRA : Maintains proper licenses including Series 7 , Series 66, the Securities Industry Essentials (SIE) ... Exam as applicable Life, Health, and Variable insurance licenses. Ensures that appropriate continuing education requirements are met where needed. + 5 or more years of sales and client management experience in Wealth Management and a demonstrated ability to… more
    First Horizon Bank (07/23/25)
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  • Sr. Financial Service Representative

    Bank of America (Jacksonville, FL)
    …Directed Brokerage. **Required Qualifications:** + FINRA Securities Industry Essentials Examination (SIE), Series 7 & Series 63 licenses + One or more ... years of call center experience + Minimum of one year experience verbally delivering complex information clearly, concisely and with empathy, while quickly establishing trust and exuding positivity and confidence + Exhibits strong communication skills… more
    Bank of America (07/22/25)
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  • Financial Advisor-Doral, Florida

    TD Bank (Doral, FL)
    …degree strongly preferred + 2+ years of providing advice, planning and investment sales + SIE, Series 7 , Series 63 required + Required to have L&H and ... Series 66 (or equivalent) or the ability to obtain...other **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
    TD Bank (08/27/25)
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  • Senior Advisor, Conflicts of Interest Supervision

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …departments. + Ability to perform analytics and create process efficiencies is a plus. + Series 7 required, Series 24 License (within 90 days of join), ... ensure compliance with firm policy and regulatory rules (eg, FINRA 3210). + Liaise with employees and certain broker-dealers...grandfathering cannot be applied. + Required to have a Series 7 , 24 (within 90 days of… more
    Raymond James Financial, Inc. (07/26/25)
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  • Wealth Management Associate - Retirement Benefits…

    Equitable (Tampa, FL)
    …or equivalent skills and work experience + **Licensing** : State Life & Health, SIE, Series 7 , Series 66 + **Personal Attributes** : values-driven with a ... work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA ...+ ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment Period (PEP)** : comprehensive… more
    Equitable (08/20/25)
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  • Entry Level - Wealth Manager

    Equitable (Miami, FL)
    …or equivalent skills and work experience + **Licensing** : State Life & Health, SIE, Series 7 , Series 66 + **Personal Attributes** : values-driven with a ... work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA ...+ ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment Period (PEP)** : comprehensive… more
    Equitable (08/02/25)
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  • Advisor, Supervision Trade Review

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …+ SIE required provided that an exemption or grandfathering cannot be applied. + Required to have a Series 7 , 9, 10 and 63 + Series 24, 53 and 4 can be ... and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and platform policies and procedures as they apply to account… more
    Raymond James Financial, Inc. (07/04/25)
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  • Compliance Officer - Vice President

    Arena Investors LP (Jacksonville, FL)
    …investment adviser (primarily private credit exposure); . Experience with broker-dealer compliance (ideally Series 7 or Series 14 licensed); . Solid ... Advisers Act of 1940; . Support the CCO with FINRA broker-dealer requirements; . Monitoring of Client guidelines and...of excellence while focusing on accuracy and efficiency. . 7 - 10 years of regulatory compliance experience at… more
    Arena Investors LP (08/12/25)
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  • Senior Advisor, Supervision- Dispute Resolution

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …~ + An equivalent combination of experience, education, and/or training. **Licenses/Certifications** + Series 7 Required, Series 9/10 or 24 license preferred ... and Responsibilities** + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and platform policies and procedures as they apply to… more
    Raymond James Financial, Inc. (07/26/25)
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