- HSBC (Miami, FL)
- …our investors, our communities and the planet we all share. The securities licensed Wealth Relationship Officer provides sales support to registered securities ... brokerage and banking industry, trading operations, banking products and HSI's (HSBC Securities Inc. USA) brokerage products. Work is often performed under the… more
- 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