- 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
- 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
- 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. (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. (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. (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
- 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
- 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. (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. (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