- 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 (Miami, FL)
- …areas. + US Only: S7, S66 (or 63 & 65) & S31; NOTE: Securities Industry Exam (SIE is a prerequisite to the S7) **Education:** + Bachelor's/University degree, ... Master's degree preferred **Job Family Group:** Private Client Product Services **Job Family:** Investment Counselor **Time Type:** Full time **Primary Location:** Miami Florida United States **Primary Location Full Time Salary Range:** $200,000.00 -… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …FINRA/SEC rules and regulations. + Principles of banking and finance and securities industry operations Skill in: + Conducting negotiations with third parties, with ... strong problem-solving skills to achieve desired outcomes. + Strong oral and written communication capability. + Ability to think independently and quickly and convey a positive impression of Raymond James to third parties. + Operating standard office… 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
- Bank of America (Tampa, FL)
- …support for Global Markets sales, trading and underwriting business for securities , foreign exchange, fixed income, exchange traded derivatives, and over-the-counter ... derivatives across multiple Lines of Business. Key responsibilities include carrying out duties under general supervision and assisting teammates while following established procedures. Anti-Money Laundering (AML) Know Your Customer/Client Due Diligence… 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
- 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 (Jacksonville, FL)
- …related to banking and /or investment operations - including placing unsolicited securities trades (Series 7 & 63 required). + Ensures customer claims and ... complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and other compliance norms are strictly adhered to. + Builds a rapport with clients; utilizes Salesforce regularly for communication of issues/tasks/opportunities. + Builds… more