- Charles Schwab (Orlando, FL)
- …international client experience and an equivalent level of knowledge of securities industry required + 3+ years' demonstrated experience introducing advisory ... products and services to international clients (wealth and investment management solutions) required + Extensive knowledge of the intricacy of working with international clients, jurisdictional nuances, tax impacts, foreign regulatory impacts, product… more
- Bank of America (Jacksonville, FL)
- …conducts complex investigations, including fraud committed by external parties, securities fraud, money laundering, or terrorist financing. Responsibilities for this ... role include completing investigations while ensuring cases meet or exceed closure and quality metrics, reporting facts of the investigation to assist in identifying potential operational or compliance risks, and completing Suspicious Activity Reports (SAR) in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …well as formal and informal training and coaching. **Knowledge of:** + Securities industry related to job responsibilities, department and division. + Products ... concepts relating to financial services industry, including financial instruments, financial management, and cash and capital principles. + General office practices and procedures. **Skills:** + Supports business processes with guidance but not constant… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …be able to obtain within 120 days-the following FINRA licenses:_ + SIE ( Securities Industry Essentials) - Required unless exempt or grandfathered. + Series 99 ... (Operations Professional) - Required unless you already hold one of the following qualifying registrations: Series 6, 7, 17, 37, 38, or principal-level Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, or 53. _These licenses are essential for ensuring compliance… more
- MUFG (Tampa, FL)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- Bank of America (Tampa, FL)
- …leading and negotiating with a team of bank associates to solve client problems. * Securities Industry Essentials (SIE), Series 7 & 63 (Must obtain SIE, series 7 & ... 63 license within 180 days of start date) **Desired Skills:** * Undergraduate degree in related field or equivalent work experience. MBA desirable. * Existing knowledge of the market preferred. * Active member/participation in local community organizations. *… more
- Santander US (Miami, FL)
- …by Banker. * Time deposit, checkbooks, cashier's temporary checks. * Transfer securities (incoming/outgoing) in Appian. * Follow up with clients Capital calls and ... cover designated portfolios for Back Office Team to process. Controls Daily: * Review "Morning Movement Report" sent by Operations to verify account movements of previous days to ensure each transaction has been processed correctly. * Review and approve daily… more
- MUFG (Tampa, FL)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Knowledge of:** * Fundamental concepts, principles and practices of the securities industry and asset management products. * Broker/dealer operations. **Skill ... in:** * Identifying the needs of customers through effective questioning and listening techniques. * Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment. * Preparing and… more
- JPMorgan Chase (Orlando, FL)
- …required training. + High school degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 ... if required), and Life licenses are minimum requirements. All unlicensed applicants must obtain their licenses through JPMC's licensing program within 180 days of hire, study materials and support provided. + Ability to work branch hours including weekends and… more