- Raymond James Financial, Inc. (St. Petersburg, FL)
- …industry marketing/advertising and skills obtained through education and experience in securities and/or the banking industry to ensure firm policies and procedures ... Abilities** **Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and...Bachelor's degree (BA /BS) and a minimum of six ( 6 ) years of experience in Compliance and/or the financial… more
- Truist (Tampa, FL)
- …anticipating the time frame required for presentation and answering of questions. 6 . Maximize sales opportunities by contacting potential investment clients based on ... degree or equivalent experience and related training. 2. Experience in the securities industry and/or a sales assistant role. 3. Knowledge of securities… more
- Wells Fargo (Port Orange, FL)
- …partners **Desired Qualifications:** * Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... practices risk management culture * Current registration for FINRA Series 6 and Series 63...For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required… more
- Wells Fargo (Pensacola, FL)
- …partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... practices risk management culture + Current registration for FINRA Series 6 and Series 63...For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required… 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 ... practices risk management culture + Current registration for FINRA Series 6 and Series 63...For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …or grandfathering cannot be applied. + Series 7 required or willing to obtain within 6 months. + Series 63, 65 and/or 66 as required by state-OR- willing to ... and methods. + Investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. + Trading… more
- Santander US (Miami, FL)
- …Equities settlements Domestic and Foreign, specific to LATAM, EMEA, and North America securities . + In depth knowledge of SWIFT message standards for securities . ... + Deep understanding of the liquidity implications of settling securities . + Deep understanding of SEC rules for confirmation and customer statements. + In depth… more
- USAA (Tampa, FL)
- …of other technical resources needed. + May fulfill the responsibilities of a securities principal: In conjunction and coordination with Securities Counsel and ... existing license and a business need, maintenance of FINRA Series 7, 66 (or 63 and 65), 24, and...24, and 51 (or 53) may be required. + 6 or more years of related experience in financial… more
- Truist (Ocala, FL)
- …sales and service. 3. Develop and maintain a profitable level of securities and insurance sales by executing on opportunities identified through external networking ... relationship management strategies to deepen client connections and loyalty. 6 . Properly record transactions and inquiries, and see that...Banking, or equivalent education and related experience. 2. FINRA Series 7, 66 (63 and 65 in lieu of… more
- Truist (Tampa, FL)
- …experience. 2. 4 years professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4. Applicable state health ... Participate in the preparation for and delivery of client presentations and engagements. 6 . Assist the Advisor in developing and maintaining a profitable level of … more