- 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
- 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. Privacy is responsible for providing advice, counsel, and support in the areas of privacy and data protection. This family structure includes… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Strong understanding of the principles of banking and finance and securities industry operations. + Advanced knowledge of financial markets and products. + ... Management of internal and external regulatory exams and audits. **Skill in** + Managing compliance programs. + Integrating and aligning compliance processes and procedures with business processes. + Providing support and guidance for compliance and regulatory… more
- TD Bank (Lake Mary, FL)
- …Mary, Florida, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $55,000 - $65,000 USD TD is committed to providing fair ... diverse talents and experiences to provide value to TD Securities . Our team offers a dynamic and inclusive environment...| Identify areas of concern: Work closely with the manager to identify and address areas of concern, whether… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to support the Registrations department and its business partners. Collaborates with manager and team on regulatory matters to ensure representative, branch and firm ... research, and resolve problems. **Essential Duties and Responsibilities** + Performs securities registration functions including form filings and SRO registration. +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to review and analyze potential rule violations and ensure adherence to securities industry regulations, thereby limiting firm liability. Conduct internal reviews to ... conflicts. + Monitors and keeps up to date with applicable securities /advisory regulations. + Interprets, applies and recommends changes to organizational policies… 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 ... conflicts. + Monitors and keeps up to date with applicable securities /advisory regulations. + Interprets, applies and recommends changes to organizational policies… more
- Bank of America (Pensacola, FL)
- …of the Advisor Development Program,** your journey begins by obtaining your Securities Industry licenses, where you receive dedicated and personalized classes for ... your Securities Industry Essentials [SIE], Series 7 and Series 66...offered a role with Bank of America, your hiring manager will provide you with information on the in-office… more
- Bank of America (Jacksonville, FL)
- …make sure account status is complete. + Create and send rate report for current securities in the Hard to Borrow program to Merrill trade team for review and ... rates. + Create and send rate report for current securities in the Hard to Borrow program to Merrill...offered a role with Bank of America, your hiring manager will provide you with information on the in-office… more