- Truist (Miami, FL)
- …client segment definitions by facilitating the migration of clients to the appropriate Advisor on the team as well as makes referrals of new business opportunities ... products such as deposits, credit cards, mortgages, etc. within the Medical or Legal industry per the client relationship plan. 6. Has a basic knowledge of all… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …month in our **St. Petersburg, FL** Corporate Office. The Manager of New Advisor Transitions Management is a strategic leadership role responsible for overseeing the ... collaboration. The ideal candidate is a seasoned professional with deep industry knowledge, exceptional communication skills, and a passion for delivering… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …deleting, or restricting use of an individual's personal information. + Maintains industry knowledge of global privacy laws, company guidelines and policies, and ... industry best practices. + Coaches and mentors less experienced...and regulations. + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …communications using various reports and systems. Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and platform policies and ... Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Conducts review of advertising material to ensure compliance with applicable industry rules (ie State, FINRA, & SEC) and firm policies and procedures. ... Skills, and Abilities:** **Knowledge of:** * Investments and trading, securities industry regulations, and client suitability (all at a level consistent with… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry , broker/dealer compliance and/or branch exams + Rules and regulations of ... + Fundamental investment concepts, practices, and procedures used in the securities industry + Financial markets and products **Skill in:** + Thorough and balanced… more
- EFI Global (Tampa, FL)
- …architects and scientists was selected for their technical proficiency, in-depth industry knowledge and commitment to professional integrity. Together, our diverse ... evaluate Due Diligence Environmental Site Assessments (ESA) to ASTM and industry standards, including site reconnaissance, report preparation and coordinate services… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Fundamental investment concepts, practices and procedures used in the securities industry . + Principles of banking and finance and securities industry ... three (3) years of experience in Compliance and/or the financial services industry preferred. ~or~ + Any equivalent combination of experience, education, and/or… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Knowledge, Skills, and Abilities:** **Knowledge of:** Investments and trading, securities industry regulations, and client suitability (all at a level consistent ... two (2) years of experience in Supervision and/or the financial services industry . ~or~ Any equivalent combination of experience, education, and/or training approved… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to identify control issues and adverse trends. + Stay current with evolving industry and regulatory changes that impact the business. + Performs other duties and ... a minimum of three (3) years of experience in the financial services/banking industry . + OR ~ + Any equivalent combination of education, experience and/or training… more
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