- Thrivent Financial (Destin, 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …provide advice on such documentation negotiation from the credit perspective . Securities /Private Client and Asset Management products and an understanding of the ... market standard risk management practices . Broker -dealer supervisory frameworks, retail investment platforms, and UHNW product risks including structured products,… more
- Navy Federal Credit Union (Pensacola, FL)
- …business relationships with members and internal/external sources. + Execute customer and broker purchase/sales orders of securities for current/new clients. + ... + Ability to obtain appointment by the sponsoring insurance company, broker -dealer and/or Registered Investment Advisory Firm + Experience in business development… more
- MUFG (Tampa, FL)
- …services industry; previous working experience within Capital Markets, Asset Management, Broker Dealer, Finance, Treasury and or risk management + Strong knowledge ... 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
- TD Bank (Doral, FL)
- …the expertise of other **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... Laws. May (or may not) be a registered position under FINRA. + Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Basic concepts, principles, and practices of financial planning, investing, and the securities industry. + Financial markets, products, and the impact of macro and ... + Principles of banking, finance, accounting, budgeting, cost control, and broker -dealer operations. **Skill in** + Organization and time management to prioritize… more
- Lincoln Financial (Tallahassee, FL)
- …and Tax basis. They will be responsible to perform more complex securities research, analysis, and proper accounting treatment of Lincoln Financial (LF) investment ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- Lincoln Financial (Tallahassee, FL)
- …and a Member of the Bar in good standing is required Experience + Experience with Securities Act of 1933 and Investment Company Act of 1940 + Minimum of 10+ years' ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- MUFG (Tampa, FL)
- …Management with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer, ... 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
- Insight Global (Tampa, FL)
- Job Description A large broker -dealer and registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the ... securities brokerage and investment advisory organizations. This person ensures that all retail communication complies with states and federal laws, state insurance… more