- Raymond James Financial, Inc. (St. Petersburg, FL)
- …documentation. + System analysis and business process modeling. + Principles of securities industry operations . + Business planning and analysis. **Preferred:** ... of the team through training, coaching, and mentoring. + Contribute to reviewing existing operations in own area of work, and generate new ideas to assist in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in the securities industry. . Principles of banking and finance and securities industry operations . . Financial markets and products. **Skill in** . ... single function or less complex specialty work group, typically involving service, operations or administrative associates. May lead defined work or projects of… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …used in the securities industry. + Principles of banking and finance and securities industry operations . + Financial markets and products. + CAPM or PMP ... in project management, information compliance risk management, and the securities and/or banking industry to support Information Compliance Risk Management's… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in the securities industry. + Principles of banking and finance and securities industry operations . + Financial markets and products. **Advanced skill in:** ... skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to assist in administering and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …compliance issues involved with retail activity. + Principles of banking, finance, and securities industry operations + Rules and regulations of the ... skills obtained through experience, specialized training and/or certification in securities and/or banking industry to mitigate regulatory, litigation and reputation… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …compliance issues involved with retail activity. * Principles of banking, finance, and securities industry operations * Rules and regulations of the ... to detect trends and possible rules violations to ensure adherence to securities industry regulations and firm expectations to limit firm liability. Responsible for… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …compliance issues involved with retail activity. * Principles of banking, finance, and securities industry operations * Rules and regulations of the ... trading patterns and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Works independently on difficult… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …sufficient to act in a sponsorship role. + Principles of finance and securities industry operations . + Financial markets and products. + Performance management. ... Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination. more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …is beneficial but not required + Principles of banking and finance and securities industry operations . + Financial markets and products. **Advanced skill in:** ... and Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance. + Rules and regulations of the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in the securities industry. + Principles of banking and finance and securities industry operations . + Financial markets and products. **Advanced skill in:** ... and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance. + Rules and regulations of: … more