- Raymond James Financial, Inc. (St. Petersburg, FL)
- …trading patterns and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Works independently on difficult ... conflicts. * Monitors and keeps up to date with applicable securities /advisory regulations. * Interprets, applies and recommends changes to organizational policies… more
- JPMorgan Chase (Tampa, FL)
- …expertise in the technology processes or domains that support the Securities Services business and perform independent risk assessments on specific technologies ... of global and regional technology/ cyber security processes for the Securities Services Technology organization + Participate in assessment of emerging risks… 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 the ... Bureau (CFPB), and state banking regulatory agencies + Knowledge of Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state … more
- Citigroup (Tampa, FL)
- The Securities & Derivatives Associate Analyst is a developing professional role. This role identifies policy and applies specialty knowledge in monitoring and ... + Individual mapped to this job description is responsible for securities transaction processing execution + Typically related to Securities … 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Some guidance is provided to ... practices, procedures, and methods. + Concepts, practices and procedures of securities industry and/or banking compliance, including suitability and other compliance… 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
- 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
- Truist (Weston, 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)
- …input to ensure all relevant information is considered. + Identifies securities valuations and financial review processes and develops methodology for accurate ... securities valuation and financial review across the organization resulting...cost allocation concepts and practices. **Skill in** + Reviewing securities valuations and their impact on the net asset… more