- 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
- Truist (Jupiter, FL)
- …* 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 portfolio of high net and ultra-high net worth… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …future.** **Knowledge of** + Basic principles of banking and finance and securities industry operations. + Functional, operational and technical requirements of all ... systems used by assigned functional area(s). + Core Private Client Banking servicing platform, and complementary systems. + Information technology support and technical documentation. **Skill in** + Operating standard office equipment and using required… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Knowledge of:** Financial advisor business models and practice structures. Securities industry regulations and compliance standards. Recruitment and talent ... acquisition strategies in financial services. Strategic planning and performance management. Business development and relationship management best practices. **Skill in:** Leading and developing high-performing teams. Communicating effectively with internal… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Knowledge of:** * Fundamental concepts, principles and practices of the securities industry and asset management products. * Broker/dealer operations. **Skill ... in:** * Identifying the needs of customers through effective questioning and listening techniques. * Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment. * Preparing and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …database is required. * General principles of banking and finance and securities industry operations is preferred. * Federal Reserve entity reporting requirements ... for a bank holding company (FRY-10, FRY-6) is preferred. * SEC Section 16 filing including Form ID, Form 3, Form 4, and Form 5 is preferred. **Skill in:** * Legal research and analyzing facts and information, and resolving problems as they arise * Corporate… 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
- 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …products. + Advanced principles of banking, trust and finance and securities broker/dealer operations. + Wealth Planning offerings and partnerships, including ... longevity, insurance, and investments relationships. + Detailed and in-depth understanding of Money Guide Pro Elite and Wealth Studios **Skill in** + Excellent problem solving skills to identify the needs of clients through effective questioning and listening.… 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