• Senior Registered Client Service Associate

    Raymond James Financial, Inc. (Stuart, FL)
    …methods. + Advanced investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. + Trading ... + Series 7 required. + Series 63, 65 and/or 66 as required by state. + Ability to obtain additional securities and advisory state registrations if required by state. more
    Raymond James Financial, Inc. (01/09/26)
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  • Manager, Risk Management and Complex Issues - RCS

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …uses knowledge and skills, obtained through education and/or RIA and securities industry experience, training and/or certification, to assist with creating and ... and supporting functions. + Fundamental concepts, practices and procedures of securities industry and/or banking compliance reviews. + Inherent risks associated with… more
    Raymond James Financial, Inc. (01/09/26)
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  • Financial Examiner/Analyst II

    MyFlorida (Tampa, FL)
    …relating to financial institutions, financial services companies, insurance companies, securities dealers or investment advisers, mortgage brokers or lenders, or ... auditing financial data within the consumer finance, banking, insurance, or securities industry, supervision of consumer finance industry personnel or regulations of… more
    MyFlorida (01/09/26)
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  • Advisor Development Program Client Associate

    Bank of America (Sarasota, FL)
    …Advisors (FAs). As a WMCA - ADP your journey begins by obtaining your Securities Industry licenses, where you will receive dedicated study time for your ... Securities Industry Essentials [SIE], Series 7, and Series 66 Exams. Your SIE, Series 7 & 66 must be obtained within 120 days; (63 & 65 accepted, in lieu of 66, if… more
    Bank of America (01/09/26)
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  • Client Service Associate- Tampa Bayshore

    Raymond James Financial, Inc. (Tampa, FL)
    …and methods. + Investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. **Skill in** + ... + High School Diploma or equivalent and two (2) or more years securities industry or related work experience preferred, or an equivalent combination of experience,… more
    Raymond James Financial, Inc. (01/08/26)
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  • Senior Advisor, Supervision- Supervisory Solutions

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …of branch personnel. * Monitors and keeps up to date with securities /advisory regulations and applies them accordingly. * Interprets, applies, and recommends changes ... and regulations. * Investment concepts, practices and procedures used in the securities industry. * Financial markets and products. **Skill in:** * Operating… more
    Raymond James Financial, Inc. (01/08/26)
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  • Trust Officer - Estate and Trust Settlement

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …settlements + Fundamental investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and securities ... industry operations. + Financial markets, products, financial advisory function and investment process. **Skill in** + Personal trust and estate administration. + Strong interpersonal and leadership skills to provide a high level of customer service. +… more
    Raymond James Financial, Inc. (01/07/26)
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  • Manager, AML and Financial Crimes - Fraud…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …services industry practices + Principles of banking and finance and securities industry operations **Skill in** + Team leadership, coaching, and performance ... field and a minimum of 6 years' experience in compliance in the securities or banking industry with a focus on anti-fraud/anti-money laundering activities. + ~OR… more
    Raymond James Financial, Inc. (01/07/26)
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  • Wealth Regional Supervisor - New Accounts

    Truist (Orlando, FL)
    …with those of a retail broker/dealer and RIA supervising principal in the securities industry. The supervisory functions mainly focus on the review and acceptance of ... supervisory tasks delegated by Principal Managers including oversight of securities related activity of registered bank teammates **Required Qualifications:** The… more
    Truist (01/07/26)
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  • Vice President, Corporate Banking Portfolio…

    Wells Fargo (Miami, FL)
    …accepted. + For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required + This ... check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which… more
    Wells Fargo (01/05/26)
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