- Raymond James Financial, Inc. (St. Petersburg, FL)
- …specialized products. + Advanced principles of banking, trust and finance and securities broker /dealer operations. + Wealth Planning offerings and partnerships, ... including longevity, insurance, and investments relationships. + Detailed and in-depth understanding of Money Guide Pro Elite and Wealth Studios **Skill in** + Excellent problem solving skills to identify the needs of clients through effective questioning and… more
- TD Bank (Fort Lauderdale, FL)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker -dealer), and wealth management businesses + Excellent written, ... verbal and analytical skills + Highly motivated, strong attention to detail, team oriented, organized + Strong interpersonal and presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to… more
- Guardian Life (Tallahassee, FL)
- …collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will conduct branch office ... of state insurance laws (inclusive of NAIC). + 3-5 years of broker -dealer and registered investment advisor compliance experience, with experience at an… more
- JPMorgan Chase (Melbourne, FL)
- …AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker -dealer and investment advisor, member ... of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under… more
- Truist (Orlando, FL)
- …activities may change from time to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... supervisory functions that are routinely associated with those of a retail broker /dealer. **ESSENTIAL DUTIES AND RESPONSIBILITIES** Following is a summary of the… more
- Guardian Life (Tallahassee, FL)
- …needs of prospects and clients and drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities ) to drive revenue through PAS's multifaceted ... product platform. + Educate producers, so they can effectively convey advanced planning recommendations to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… more
- Thrivent Financial (Tallahassee, FL)
- …client relations and planning activities. The person in this role supports securities and insurance-related tasks and other administrative tasks as assigned. In ... and engage Christians to make a real impact in your community. Position Requirements: * Securities registration required- SIE, Series 7 and 66 (or 7, 63 & 65) before… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …- External** **Knowledge, Skills, and Abilities:** **Knowledge of:** * Operations of broker dealers, hedge funds, private equity, and similar firms * Fund accounting ... Complex investment concepts, practices and procedures used in the securities industry * Financial markets and complex products *...five to seven (5-7) years of experience at a broker /dealer, hedge fund, private equity firm, or similar in… more
- Wells Fargo (St. Petersburg, FL)
- …representatives (eg, financial advisors) to ensure their compliance with FINRA and Securities and Exchange Commission (SEC) rules and regulations, as well as federal ... industry experience + Experience in branch office supervision, compliance, broker -dealer governance, sales supervision + Experience supporting independent Advisors… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …trends, trading patterns and possible rules violations and ensure adherence to securities industry regulations and limit firm liability. Conduct internal reviews to ... rules (eg, FINRA 3210). + Liaise with employees and certain broker -dealers to ensure completion of policy driven requirements including account certifications,… more