- Truist (Tampa, FL)
- …in Finance or Business. + Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of Available Benefits for Eligible Employees of ... **Essential Duties and Responsibilities** + Manage a team of 4 - 10 Supervisors. + Provide coaching and focused...with disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66 licenses ( Series… more
- Truist (Orlando, FL)
- …+ 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of Available Benefits for Eligible Employees of ... individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9&10 can be used in lieu of 53. Series… more
- Truist (Orlando, FL)
- …+ 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General Description of Available Benefits for Eligible ... individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9&10 can be used in lieu of 53. Series… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be ... that an exemption or grandfathering cannot be applied. + ** Series 99 required,** or **ability to obtain within 120...qualified to register as an Operations Professional ( Series 99) without passing the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be ... that an exemption or grandfathering cannot be applied. + ** Series 99 required,** or **ability to obtain within 120...qualified to register as an Operations Professional ( Series 99) without passing the… more
- JPMorgan Chase (Tampa, FL)
- …duties associated with the role: FINRA SIE, Series 7, 66 (63/65), 9/10 ( 4 ,24,53) + A valid Series 4 is required or must be obtained within 90 days of ... supervision of $2.1 trillion and assets under management of $1. 4 trillion. JP Morgan Private Bank has been helping...supervision of $2.1 trillion and assets under management of $1. 4 trillion. With Private Bank advisors in 110 offices… more
- Citigroup (Jacksonville, FL)
- …Candidates willing to obtain missing licenses within 120 days are also encouraged to apply. Series 24, 4 in lieu of 9/10. + Strong teamwork orientation. + ... Markets and the financial industry. + Cross-disciplinary knowledge of compliance, operations, trading + **Required Licenses:** Series 7, 9/10, 31, 63 & 65 (or 66).… more
- Insight Global (Tampa, FL)
- …personality with the ability to maintain positivity in the workplace -Familiarity with Ad Review - Series 53 & 4 registrations null We are a company committed to ... and Requirements -3 years of experience within compliance in a financial environment - Series 7 & 24 registrations -- must be currently active -Bachelor's degree or… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …cannot be applied. + Required to have a Series 7, 9, 10 and 63 + Series 24, 53 and 4 can be used instead of the 9 and 10 + Series 66 can be used ... and/or training approved by Human Resources. **Licenses/Certifications:** + Appropriate series license(s) for assigned functional area preferred or the ability… more
- Truist (Tampa, FL)
- …professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4 . Applicable state health and life insurance ... clients with trades, requests for information, research, account problems, etc. 4 . Provide client relationship management support, including ongoing counsel and… more