- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and experience to manage a variety of litigation matters with a focus on securities matters in FINRA's arbitration forum and in federal and state courts. Will ... 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)
- …and Abilities** **Knowledge of** + Principles of banking and finance and securities industry operations. + Micro and Macroeconomics and their impact on investment ... and OneNote) **Skill in** + Principles of banking and finance and securities industry operations. + Micro and Macroeconomics and their impact on investment… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …these OSJ locations. + 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 financial products. **Skill in** + Operating… more
- JPMorgan Chase (Boca Raton, FL)
- …were registered after October 1, 2018, you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and active Series 66 (63/65), and ... AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …areas. * Advanced investment concepts, practices and procedures used in the securities industry. * Advanced principles of banking and finance and securities ... industry operations. * Advanced financial l markets and products. **Skill in:** * Drafting and editing of general commercial contracts with particular focus on contracts required for the operation of a broker-dealer, registered investment adviser and bank… more
- Citigroup (Tampa, FL)
- …recommend strategic decisions based off in-depth comprehension of how the Securities Derivatives Operations team interacts with others business unites in ... **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives Processing **Time Type:** Full time **Primary Location:**… more
- Citigroup (Boca Raton, FL)
- …to clients based on client profiling and suitability assessments + Make securities recommendations and provide investment advice to clients through a select number ... problem solver and a goal-oriented team player able to work without direction + Securities Industry Essentials - SIE - Active Series 7, 66 (or 63 and 65)… more
- Convey Health Solutions (Fort Lauderdale, FL)
- …space. Primary responsibilities involve managing corporate governance and securities compliance, overseeing external counsel, and drafting, reviewing, negotiating ... solutions to address risk + Create processes for and manage compliance with securities rules and regulations + Provide support for M&A transactions Education and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …audit * Complex investment concepts, practices and procedures used in the securities industry * Financial markets and complex 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
- MUFG (Tampa, FL)
- …(eg, Financial Industry Regulatory Authority, or FINRA, in the US ., European Securities and markets Authority in Europe or the Financial Conduct Authority in the ... 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… more