- Raymond James Financial, Inc. (St. Petersburg, FL)
- …out to the required quality standards and/or to ensure adherence to external regulatory codes and internal codes of conduct. + Develop and maintain excellent ... procedural or technical skills by participating in assessment and development planning activities as well as formal and informal training and coaching. **Knowledge of:** + Each type of security held by the firm and an understanding of the similarities and… more
- Truist (Weston, FL)
- …the features and attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. Candidates will be ... considered if they have at least 1 of the required licenses and can obtain the additional licenses during employment. 6. Exceptional telephone skills and the ability to appropriately interact with clients of all experience levels regarding securities… more
- MUFG (Tampa, FL)
- …not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major ... responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of… more
- MUFG (Tampa, FL)
- …not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major ... responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of… more
- JPMorgan Chase (Tampa, FL)
- …harvesting activities in accordance with Campbell Global' s budgetary, regulatory , and environmental guidelines. **Job responsibilities** + Contract with third ... parties to perform harvesting, silviculture, and road construction and maintenance-related services (prospectus preparation, identification of qualified/licensed contractors or consultants, bid analysis, negotiations, contract execution and compliance… more
- MUFG (Tampa, FL)
- …not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major ... responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of… more
- UMB Bank (Tallahassee, FL)
- … associate behavior and interviews with branch associates to assess the associate 's understanding of applicable regulatory requirements. + Issuing a summary ... to identify operational and compliance risk within the retail branch. This associate works closely with the Compliance and Oversight Program Manager and reports… more
- TECO Energy (Ybor City, FL)
- …or information security professional certification: (eg, Microsoft Certified Solutions Associate (MCSA), VMware Certified Professional (VCP), Cisco Certified Network ... Associate (CCNA), Certified Ethical Hacker (CEH), GIAC Certifications, Certified...working knowledge of the processes that ensure compliance with regulatory or industry requirements such as NERC CIP, SOX,… more
- First Horizon Bank (Miami, FL)
- …apply regulatory guidance, with demonstrated experience collaborating across diverse associate and client groups. + Advanced proficiency with regulatory ... location listed in job posting. **Key Responsibilities** **_CRA Exam Management & Regulatory Preparedness_** **:** + Coordinate and manage all aspects of CRA… more
- TECO Energy (Ruskin, FL)
- …and framework, aligning activities with industry standards and regulatory requirements. Collaboration with cross-functional teams ensures consistent application ... necessary actions to maintain compliance with applicable internal and regulatory standards. Develop management responses to internal and external government… more