- Truist (Jupiter, FL)
- …asset allocation objectives and policies. 3. Keep abreast of changing economic, legal , financial planning, investment trends and general market and business issues ... and traditional retail bank products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 7, 66 (63 and 65 in lieu of 66)… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …comprehensive recommendations for the financial advisor, the client and the client's legal and tax professionals (eg attorney or CPA). + Leverages planning software ... products. + Advanced principles of banking, trust and finance and securities broker/dealer operations. + Wealth Planning offerings and partnerships, including… more
- MUFG (Tampa, FL)
- …product developments and industry practice. Discuss and participate in Front Office/ Legal Department's discussion in closing of complicated Standby L/C deals. ... 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
- MUFG (Tampa, FL)
- …identify areas of improvement. + Collaborate with IT, security operations, legal , communications, and executive leadership. + Present findings and strategic ... 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
- Edward Jones (Tarpon Springs, FL)
- …Advisor?** + Build meaningful relationships with clients with an understanding of legal and regulatory requirements related to selling financial solutions + Critical ... assigned study period + At least 3-5 years of relevant experience in securities industry preferred + FINRA licenses required within three months. State insurance… more
- MUFG (Tampa, FL)
- …risks, regulatory requirements, and internal policies. . Collaborate with compliance, legal , and audit teams to ensure control frameworks support regulatory ... 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and engagement across teams and stakeholders. + Collaborate closely with Risk, Legal , Compliance, and PCG to ensure supervisory practices align with regulatory ... **Knowledge, Skills, and Abilities** **Knowledge of** + Advanced investment concepts and securities industry procedures. + Investment Company Act of 1940 and SEC… more
- MUFG (Tampa, FL)
- …data security and protection regulations and standards + Liaison with governance, legal , and business divisions to maintain and update classification and labeling ... 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
- 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 ... and/or insurance agents do not provide tax, accounting or legal advice. Lincoln is committed to creating an inclusive… more
- Citigroup (Tampa, FL)
- …transactions. **Stakeholder Collaboration** : Collaborate with compliance, risk, legal , operations, technology, product owners, report owners, Enterprise data ... **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives Processing **Time Type:** Full time **Primary Location:**… more