- First Horizon Bank (Tampa, FL)
- …OFFICE EQUIPMENT SKILLS** 1. Microsoft Office suite **CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license, etc)** None required **About Us** ... of all Products and Services to all applicable regulations in which Corporate Compliance has oversight responsibility. Must have a knowledge of all state and federal… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Experience Requirements** + Bachelor's degree (BA /BS) and a minimum of six ( 6 ) years of experience in Compliance and/or the financial services industry ... them accordingly. + Coaches, trains, and mentors less experienced Compliance Specialists. + May serve as a "team lead"...+ SIE required provided that an exemption or grandfathering cannot be applied. + Series 7, 24, and 63… more
- Wells Fargo (Port Orange, FL)
- …partners **Desired Qualifications:** * Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008...practices risk management culture * Current registration for FINRA Series 6 and Series 63… more
- Wells Fargo (Pensacola, FL)
- …partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008...practices risk management culture + Current registration for FINRA Series 6 and Series 63… more
- Wells Fargo (Sun City Center, FL)
- …+ Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to ... by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect...practices risk management culture + Current registration for FINRA Series 6 and Series 63… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …required,** or **ability to obtain within 120 days** (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level ... requirements. + Investigate standard incidents using current regulatory and compliance processes, systems, and procedures, and take action to...registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,… more
- Santander US (Miami, FL)
- …and risk assessment. Ability to drive innovation and continuous improvement in compliance processes. _Key Competencies:_ FINRA Series 99 mandatory or ... Markets leadership team. Work closely with CIB Business Lines, Compliance , Legal, Risk, Technology, and CLM teams to ensure...27 desirable. Incumbent will be expected to pass a Series 27 exam after 6 months on… more
- Veterans Affairs, Veterans Health Administration (Miami, FL)
- …(Submit Documentation). Persons appointed or reassigned to RRT positions in the GS-0601 series must possess and maintain for the duration of employment a full, ... of RRT. Grandfathering Provision. All persons employed in VHA in this occupational series or in another occupational series and performing the duties as… more
- First Horizon Bank (Miami Lakes, FL)
- …Auditors (IIA) Standards Certification or License required (CIA, CISA, CPA, CFA, CRCM, CIFRS, Series 6 , 7, or 24, etc.). Prior experience at a large, complex ... the full range of risks related to processes, regulatory compliance , organization, policy, and technology; + evaluate control design...or License required (CIA, CISA, CPA, CFA, CRCM, CIFRS, Series 6 , 7, or 24, etc.) or… 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 ... appointed or reassigned to RRT positions in the GS-0601 series must possess and maintain for the duration of...Federal Employees earn annual leave at a rate (4, 6 or 8 hours per pay period) which is… more