- Insight Global (Tampa, FL)
- …https://insightglobal.com/workforce-privacy-policy/ . Skills and Requirements -3 years of experience within compliance in a financial environment - Series 7 & 24 ... local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and...maintain positivity in the workplace -Familiarity with Ad Review - Series 53 & 4 registrations null We… more
- ISC2 (Tallahassee, FL)
- …that empowers all of our successes. Learn more. **Position Summary** The Tax & Compliance Lead plays a crucial role in ensuring the organization adheres to all ... applicable auditing standards, domestic and international compliance measures, and tax laws and regulations. This position...deadlines + Experience with Sage Intacct and Vertex O Series , a plus **Education and Work Experience** + Bachelor's… more
- Wells Fargo (Sun City Center, FL)
- …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008 and all related… more
- Truist (Tampa, FL)
- …experience + Experience with Envestnet, NFS/Wealthscape, Protegent/Prosurv platforms. + FINRA Series 4 license **General Description of Available Benefits for ... team is aware and understands all changes relating to compliance with industry rules, regulations as well as internal...**Essential Duties and Responsibilities** + Manage a team of 4 - 10 Supervisors. + Provide coaching and focused… more
- Truist (Orlando, FL)
- …or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of Available Benefits for Eligible Employees of ... that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal...with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …or grandfathering 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 ... managers through the use of various reports and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and platform… 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 ... organization to achieve its business objectives. + Monitors regulatory compliance with internal and external groups including auditors, FINRA,...that an exemption or grandfathering cannot be applied. + ** Series 99 and Series 7 required,** or… more
- Veterans Affairs, Veterans Health Administration (Lake City, FL)
- …of clinical competence and conduct for staff which are maintained through compliance with the credentialing and privileging processes, monitoring and evaluation of ... of staff. Work Schedule: Monday - Friday, 8:00am - 4 :30pm Recruitment Incentive (Sign-on Bonus): Not authorized. Pay: Competitive...or reassigned to social worker positions in the GS-0185 series in VHA must be licensed or certified by… 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 ... documentation standards, templates, and procedures to ensure consistency and compliance . + Monitor regulatory changes and ensure documentation practices align… more
- Veterans Affairs, Veterans Health Administration (Miami, FL)
- …recorders for precise measurement of airway obstruction, thoracic gas volume, compliance , and other parameters. The Incumbent operates a computerized system for ... overbooks. Work Schedule: Monday - Friday, 8:00 am - 4 :30 pm Telework: Not Available Virtual: This is not...appointed or reassigned to RRT positions in the GS-0601 series must possess and maintain for the duration of… more