• VP, Compliance Equity Capital Markets

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …and Abilities** **Advanced Knowledge of:** + Concepts, practices and procedures of securities industry compliance. + Rules and regulations of the Securities ... Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies, specifically FINRA 2241 and SEA - Section 5,… more
    Raymond James Financial, Inc. (01/07/26)
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  • Brokerage Registered Client Service Associate

    Truist (Orlando, 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
    Truist (01/06/26)
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  • SVP, Division Director, ICD Northeast

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …and compliance guidelines. * Investment concepts, practices and procedures used in the securities industry. * Principles of banking and finance and securities ... with ten (10) years of management experience, and sales management experience in the securities industry required. OR * Master's Degree in a related field with a… more
    Raymond James Financial, Inc. (12/19/25)
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  • Senior Retirement Plan Specialist

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …financial planning and investment concepts, practices and procedures used in the securities industry + Principles of securities industry operations and financial ... for this role, they are highly beneficial and strongly encouraged: + Securities Industry Essentials (SIE) Exam + Financial Industry Regulatory Authority (FINRA)… more
    Raymond James Financial, Inc. (12/19/25)
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  • Compliance Director, Capital Markets and Advisory

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry compliance. + Rules and regulations of the Securities ... Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies. + Retail and clearing firm operations. +… more
    Raymond James Financial, Inc. (12/04/25)
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  • IT Compliance Senior Manager

    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. (11/21/25)
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  • Financial Solutions Advisor - Registration…

    Bank of America (Sarasota, 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 (01/14/26)
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  • Sr. Advisor, Compliance PCG Branch Exams

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …**Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and regulations ... of the SEC, FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and procedures used in the securities industry +… more
    Raymond James Financial, Inc. (01/14/26)
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  • Onboarding Administrative Coordinator

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …a financial services + Investment concepts, practices and procedures used in the securities industry. + Principles of finance and securities industry operations. ... markets and products. + Financial analysis of businesses and FA practices. + Securities rules and regulations in order to conduct proper due diligence analysis of… more
    Raymond James Financial, Inc. (01/08/26)
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  • Senior Manager, Fixed Income Supervision (Saint…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …and responsibilities as assigned. **Knowledge, Skills, and Abilities** Knowledge of: * Securities trading, Rules and regulations of the Securities Exchange ... (SEC), and Financial Industry Regulatory Authority (FINRA) * Detailed knowledge of securities supervisory concepts, FINRA Rule 3110 and how it relates to Firm… more
    Raymond James Financial, Inc. (01/07/26)
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