- 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
- 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
- Truist (Winter Park, FL)
- …Assist the Advisor in developing and maintaining a profitable level of securities and insurance sales by executing on opportunities identified through external ... experience. 2. 4 years professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4. Applicable state health and… more
- Raymond James Financial, Inc. (Naples, 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
- Citigroup (Tampa, FL)
- …practices in LATAM. + Knowledge of various investment instruments, including Equity securities , Fixed Income, and Asset-Backed securities . + Proficiency in MS ... Office Suite. + Proven ability to work effectively as a team player in a multicultural environment. + Bilingual Spanish / English **Education:** + Bachelor's/University degree or equivalent experience. **Job Family Group:** Operations - Transaction Services… more
- Bank of America (Pensacola, FL)
- …of the Advisor Development Program,** your journey begins by 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… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …manage or assist with a variety of litigation matters with a focus on securities matters in FINRA's arbitration forum and in federal and state courts. Will maintain ... federal and state courts. * Advanced principles of banking and finance and securities industry operations. * Advanced financial markets and products. **Skill in:** *… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …audit + Intermediate investment concepts, practices and procedures used in the securities industry + Financial markets and products + Quantitative and qualitative ... the investment management business and performance measurement + Understanding of major securities acts and how they apply to alternative investment funds **Skill… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …as assigned. **Knowledge of** + Principles of banking, finance, and securities industry operations. + Fundamental concepts, principles, and practices of the ... securities industry and asset management products. + Principles of finance and broker/dealer operations. + Financial markets and products. + Portfolio construction,… more
- Thrivent Financial (Daytona Beach, FL)
- …before contracting. + Satisfactory background check, fingerprinting and securities registration and/or insurance licensing verification, if applicable. Compensation ... the marketing name for Thrivent Financial for Lutherans. Insurance products, securities and investment advisory services are provided by appropriately appointed and… more