- Raymond James Financial, Inc. (St. Petersburg, FL)
- …ensuring adherence to SEC, FINRA, FRB Bank Holding Company, and state securities regulations. + Engage with senior business leaders, providing compliance guidance to ... decision-making and operational risk management. + Maintain expertise in securities underwriting, private placements, syndicate matters, Reg M, and electronic… more
- USAA (Tampa, FL)
- …programs, projects, and initiatives. + Fulfills the responsibilities of a securities principal as appropriate: In conjunction and coordination with Securities ... Counsel and Securities Compliance, provides research and documentation support for use in responding to regulatory authority inquiries and audits. + Ensures risks associated with business activities are effectively identified, measured, monitored, and… more
- Bank of America (Sebastian, FL)
- …Solutions Advisor Stage I (ADP FSA I), your journey begins obtaining your Securities Industry licenses, where you receive dedicated study time for your Securities ... Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your licenses, you will be taught the foundational skills needed to be an advisor - from acquiring, building and managing client relationships to considering a client's complex financial… more
- Raymond James Financial, Inc. (Ponte Vedra Beach, FL)
- …and methods. + Investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. + Trading ... + High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …will also focus on obtaining designations and licenses to include the Securities Industry Essentials (SIE), Series 7, Series 66, and Wealth Management Specialist℠ ... services. + Fundamental investment concepts, practices and procedures used in the securities industry. + Financial markets and products. **Skill in** + Preparing and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Abilities** **Knowledge of** **:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Fundamental investment concepts, ... practices and procedures used in the securities industry. + Understanding of statistical methods, data mining, predictive modeling to analyze and interpret complex… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …of** **:** + Foundational understanding of financial markets, products, and securities industry operations. + Basic principles of risk management, risk assessment ... requirements across business systems. + Principles of banking and finance and securities industry operations. + Financial markets and products. **Skill in** **:** +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Abilities** **Knowledge of** **:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Fundamental investment concepts, ... practices and procedures used in the securities industry. + Awareness of risk governance structures, policies, and procedures within a regulated financial… more
- The Hertz Corporation (Estero, FL)
- …legal setting under the guidance of attorneys, which includes supporting Securities and Exchange Commission ("SEC") filings and public company compliance, SOX ... attorneys with the preparation of public company SEC filings pursuant to the Securities Exchange Act of 1934, including Form 10-Ks, Form 10-Qs, Form 8-Ks, and… more
- Bank of America (Lake Worth, 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 Exams. Once you obtain your licenses, you will be taught the foundational skills needed to be an advisor… more