- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Compliance team, you will serve as a subject matter expert on securities industry regulations and firm policies, ensuring adherence while enabling business growth. ... and Abilities** **Advanced Knowledge of:** + Concepts, practices and procedures of securities industry compliance. + Rules and regulations of the Securities … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …that may arise. * Monitors and keeps up to date with securities /advisory regulations and applies them accordingly. * Interprets, applies and recommends changes ... practices, procedures, and methods. * Concepts, practices and procedures of securities industry and/or banking compliance, including suitability and other compliance… more
- Thrivent Financial (Tallahassee, FL)
- …client relations and planning activities. The person in this role supports securities and insurance-related tasks and other administrative tasks as assigned. In ... and engage Christians to make a real impact in your community. Position Requirements: * Securities registration required- SIE, Series 7 and 66 (or 7, 63 & 65) before… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance. + Rules and regulations of: ... Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation… more
- Truist (Ocala, FL)
- …degree or equivalent experience and related training. 2. Experience in the securities industry and/or a sales assistant role. 3. Knowledge of securities ... to appropriately interact with clients of all experience levels regarding securities transactions and brokerage accounts. 7. Effective time management skills. 8.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Under limited supervision, uses specialized knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training ... and other KYC policies and procedures * Concepts, practices and procedures of securities industry and/or banking compliance reviews. * Rules and regulations of the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …team lead, you will leverage extensive knowledge and skills in securities , the banking industry, and/or compliance-gained through experience, specialized training, ... other KYC policies and procedures. + Concepts, practices and procedures of the securities industry and/or banking compliance reviews. + Rules and regulations of the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the AML Analyst applies specialized knowledge and skills in securities and/or banking industry compliance, gained through experience, specialized training ... Risk or other Firm divisions. + Review client background information, securities transactions, and fund movements to identify potential money laundering, terrorist… more
- Bank of America (Miami, FL)
- …Solutions Advisor Stage I (FSA I), your journey begins obtaining your Securities Industry licenses, where you receive dedicated and personalized classes for your ... Securities Industry Essentials [SIE], Series 7 and Series 66...technology or applications. **Desired Qualifications:** + Currently holds FINRA Securities Industry Essentials (SIE) + Bachelor's degree and/or a… more
- Bank of America (Clermont, FL)
- …Solutions Advisor Stage I (FSA I), your journey begins obtaining your Securities Industry licenses, where you receive dedicated and personalized classes for your ... Securities Industry Essentials [SIE], Series 7 and Series 66...technology or applications. **Desired Qualifications:** + Currently holds FINRA Securities Industry Essentials (SIE) + Bachelor's degree and/or a… more