- MUFG (Tampa, FL)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do 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… more
- MUFG (Tampa, FL)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do 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… more
- Citigroup (Tampa, FL)
- …degree **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives Processing **Time Type:** Full time **Primary Location:** ... Tampa Florida United States **Primary Location Full Time Salary Range:** $103,920.00 - $155,880.00 In addition to salary, Citi's offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers… more
- Wells Fargo (Sun City Center, FL)
- …specified period. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required + For ... the following states where hired, FINRA Series 65 (or equivalent) will also be required to be completed within a specified period: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI, and WY. The State of… more
- Wells Fargo (North Miami, FL)
- …specified period. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required + For ... the following states where hired, FINRA Series 65 (or equivalent) examination will also be required to be attempted within a specified period of time: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI,… more
- JPMorgan Chase (Apopka, FL)
- …required training. + High school degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 ... if required), and Life licenses are minimum requirements. All unlicensed applicants must obtain their licenses through JPMC's licensing program within 180 days of hire, study materials and support provided. + Ability to work branch hours including weekends and… more
- Citigroup (Tampa, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... a brain and a soul, Citi creates economic value that is systemically responsible and in our clients' best interests. As a financial institution that touches every region of the world and every sector that shapes your daily life, our Enterprise Operations &… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Strong understanding of the principles of banking and finance and securities industry operations. + Advanced knowledge of financial markets and products. + ... Management of internal and external regulatory exams and audits. **Skill in** + Managing compliance programs. + Integrating and aligning compliance processes and procedures with business processes. + Providing support and guidance for compliance and regulatory… more
- MUFG (Tampa, FL)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do 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… more
- Publix (Lakeland, FL)
- …Retirement Income Security Act (ERISA), the US Internal Revenue Service (IRS) and Securities and Exchange Commission (SEC) + Knowledge of Publix culture, history and ... philosophy + Knowledge and understanding of Publix and department procedures + Knowledge of external and internal department processes + Knowledge of Publix organizational structure **Potential Annual Base Pay:** 40,872 - 56,368 **Zip Code:** 33811-3311… more