- JPMorgan Chase (Tampa, FL)
- …industry + Licenses required to perform all job duties associated with the role: FINRA SIE, Series 7 , 66 (63/65), 9/10 (4,24,53) + A valid Series 4 is ... needed + Coordinate with Central Supervision, address suitability concerns, review customized client materials, and act as a liaison for issue resolution. Review and… more
- Arena Investors LP (Jacksonville, FL)
- …investment adviser (primarily private credit exposure); . Experience with broker-dealer compliance (ideally Series 7 or Series 14 licensed); . Solid ... the CCO with FINRA broker-dealer requirements; . Monitoring of Client guidelines and restrictions; . Review of marketing materials;...of excellence while focusing on accuracy and efficiency. . 7 - 10 years of regulatory compliance experience at… more
- Thrivent Financial (Tallahassee, FL)
- …to make a real impact in your community. Position Requirements: * Securities registration required- SIE, Series 7 and 66 (or 7 , 63 & 65) before contracting * ... position provides support to North Central Florida Group's existing client base. The position serves as a resource to...utilizing Thrivent computer systems and programs in support of client relations and planning activities. The person in this… more
- Charles Schwab (Orlando, FL)
- …for you. **What you have** **Required Qualifications:** + Bachelor's degree + Active FINRA Series 7 license (May be obtained with a 120-day condition of ... dedicated Schwab Wealth Advisory team to deliver an exceptional client experience. SWA's advice philosophy will empower you to...CFA(R) designation holders, verified before hire) + Active FINRA Series 66 license (May be obtained within the first… more
- Citigroup (Miami, FL)
- …Relevant experience in Capital financial industry; compliance/supervisory/business risk experience preferred + FINRA Series 7 , 66 (63/65), 24 and 31. Series ... + Bachelor's/University degree or equivalent experience, **Job Family Group:** Private Client Coverage **Job Family:** Client Services **Time Type:** Full… more
- Charles Schwab (The Villages, FL)
- …Schwab - Investor Services **What you have** **Required:** + A valid and active Series 7 license is required (license may be obtained under a condition ... Branch Network Licensing Program) + A valid and active Series 66 (63/65) license required (license(s) may be obtained...brokerage/banking products and services + Openness to build strong client relationships **What's in it for you** At Schwab,… more
- JPMorgan Chase (Orlando, FL)
- …present effectively - namely related to the financial plan and investment solutions + Series 7 , Series 66 required **Preferred qualifications, skills, and ... Management tools, products and capabilities - specifically Wealth Plan (WP) and client relationship system + Build out useful advisor content and drive adoption… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to obtain within an established timeframe. + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 , 24, 65 or 66 Required ... align with regulatory expectations, mitigate firm risk, and support advisor and client outcomes. + Develop and implement a robust supervisory framework for… more
- Equitable (Miami, FL)
- …or equivalent skills and work experience + **Licensing** : State Life & Health, SIE, Series 7 , Series 66 + **Personal Attributes** : values-driven with a ... becoming a wealth manager through licensing and employment. **Role Highlights** + ** Client Engagement** : Build and nurture client relationships through… more
- Raymond James Financial, Inc. (West Palm Beach, FL)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 and 9 & 10 (or 8) required. + Series ... trading and other office activities. + Documents and resolves client complaints. + Performs reviews of client ...resolves client complaints. + Performs reviews of client accounts. + Develops and implements plans to meet… more