- Edward Jones (West Palm Beach, FL)
- …as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA ... Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf . Read More About Job Overview… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …database is required. * General principles of banking and finance and securities industry operations is preferred. * Federal Reserve entity reporting requirements ... for a bank holding company (FRY-10, FRY-6) is preferred. * SEC Section 16 filing including Form ID, Form 3, Form 4, and Form 5 is preferred. **Skill in:** * Legal research and analyzing facts and information, and resolving problems as they arise * Corporate… more
- TD Bank (Fort Lauderdale, FL)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management + Excellent written, verbal and ... analytical skills + Highly motivated, strong attention to detail, team oriented, organized + Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to influence and lead at a senior… 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
- JPMorgan Chase (Tampa, FL)
- …fund transfers and reconcile purchase and sales options, futures, or securities . Leveraging your proficiency in automation, cybersecurity, and anti-fraud awareness, ... you will ensure the security and efficiency of our payment lifecycle. Your ability to manage stakeholders, influence decisions, and handle conflicts will drive mutually beneficial outcomes, while your strategic planning skills will guide our direction and… more
- JPMorgan Chase (Hollywood, FL)
- …+ Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or ... 66 if required) and Life licenses are required - or must be successfully completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High school degree, GED, or foreign equivalent + Adherence to policies, procedures, and… more
- JPMorgan Chase (Tampa, FL)
- …our clients across a range of products, including but not limited to Listed Securities , Cash, ETDs, OTCs, Repos, Bank Loans and CFDs. This team was established in ... 2020 and is expanding to add additional team members as our client base grows. IMOS deals with all stages of the lifecycle for each product from broker matching, management of the client's custodial network, lifecycle events including corporate events,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …losses. + Fundamental investment concepts, practices and procedures used in the securities industry. **Skills:** + Supports business processes with guidance but not ... constant supervision by understanding and effectively using standard office equipment and standard software packages. + Uses clear and effective verbal communications skills under supervision to express ideas, request actions and formulate plans or policies. +… more
- Cardinal Health (Tallahassee, FL)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... areas. This function also litigates all company legal matters, manages outside counsel and manages legal operations. Legal Management provides strategic oversight, leadership and direction within the Legal function. **_Job Summary_** This leadership role is… 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