• Senior Advisor, Conflicts of Interest Supervision

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …+ Provide a high level of customer service. **Licenses/Certifications:** + Appropriate series license (s) for assigned functional area preferred or the ability ... + Ability to perform analytics and create process efficiencies is a plus. + Series 7 required, Series 24 License (within 90 days of join), Series 66… more
    Raymond James Financial, Inc. (07/26/25)
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  • Central Supervision Analyst

    TD Bank (Coral Gables, FL)
    …(Required or ability to obtain within scheduled time) + State Life & Health Insurance License (Preferred) + FINRA Series 65 or 66 (Preferred) + FINRA Series ... or equivalent experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 Required (or FINRA Series 9/10)… more
    TD Bank (07/31/25)
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  • Advisor, Supervision - Communications Review

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …education, and/or training approved by Human Resources. **Licenses/Certifications:** + Appropriate series license (s) for assigned functional area preferred or ... (all at a level consistent with the requirement of Series 24 licensing). + Company's working structure, policies, mission,...grandfathering cannot be applied. + Required to have a Series 7, 24 and 65, 63. Series … more
    Raymond James Financial, Inc. (07/26/25)
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  • Advisor, Supervision Trade Review

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …education, and/or training approved by Human Resources. **Licenses/Certifications:** + Appropriate series license (s) for assigned functional area preferred or ... grandfathering cannot be applied. + Required to have a Series 7, 9, 10 and 63 + Series... Series 7, 9, 10 and 63 + Series 24, 53 and 4 can be used instead...4 can be used instead of the 9 and 10 + Series 66 can be used instead of… more
    Raymond James Financial, Inc. (07/04/25)
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  • Compliance Governance & Operations Manager

    TD Bank (Fort Lauderdale, FL)
    …tasks and competing priorities.** + **Proficiency with Microsoft Office applications.** + **FINRA license Series 7, 63 &24** + **Life and Health insurance ... license ** + **Experience working with in the banking trust and investment area; especially with in the OCC regulatory frame work** **Customer Accountabilities:** +… more
    TD Bank (07/26/25)
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  • Senior Advisor, Supervision- Dispute Resolution

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …**Licenses/Certifications** + Series 7 Required, Series 9/10 or 24 license preferred + Appropriate series license (s) for assigned functional area ... preferred or the ability to obtain within an established timeframe. + Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred. more
    Raymond James Financial, Inc. (07/26/25)
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  • Senior Advisor, Supervision- Investment Advisory

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …combination of experience, education, and/or training. **Licenses/Certifications:** * Appropriate series license (s) for assigned functional area preferred or ... that an exemption or grandfathering cannot be applied. o Required to have a Series 7 and 66 o Series 7 and 65 can be used instead of the 66 o Applicable… more
    Raymond James Financial, Inc. (07/15/25)
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  • Wealth Regional Supervisor Specialist Team Leader

    Truist (Tampa, FL)
    …in Finance or Business. + Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of Available Benefits for Eligible Employees of ... individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66 licenses ( Series 9&10 can be used in lieu of 53. Series… more
    Truist (07/08/25)
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  • Senior Technology Trainer

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …+ Develop and maintain strong professional relationships. **Licenses/Certifications:** Appropriate series license (s) for assigned functional area preferred or ... cannot be applied. SIE is required within six (6) months of hire. + Series 7 license is required within six (6) months of hire. **Travel Required:** + 30-40%… more
    Raymond James Financial, Inc. (06/24/25)
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  • Senior Manager, Centralized Risk Supervisor…

    Charles Schwab (Orlando, FL)
    …representatives to Senior Leadership. **What you have** Required Qualifications + Active and valid Series 7 license + Active and valid Series 66 ... license or equivalent + Active and valid Series 9/10 license or equivalent + 5+ years' supervision/compliance/regulatory experience + Bachelor's degree or… more
    Charles Schwab (08/02/25)
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