- First Horizon Bank (Tampa, FL)
- …AND OFFICE EQUIPMENT SKILLS** 1. Microsoft Office suite **CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license , etc)** None required **About ... and Services to all applicable regulations in which Corporate Compliance has oversight responsibility. Must have a knowledge of...laws and regulations related to Consumer, Trust, and Commercial Compliance to be leveraged as part of other testing… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Ability to perform analytics and create process efficiencies is a plus. + Series 7 required, Series 24 License (within 90 days of join), Series ... a high level of customer service. **Licenses/Certifications:** + Appropriate series license (s) for assigned functional area preferred...grandfathering cannot be applied. + Required to have a Series 7 , 24 (within 90 days of… more
- Truist (Tampa, FL)
- …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53 and 66 licenses ( Series 9&10 can be used ... Series 66) Life/Health and Variable Insurance Licensing + 7 years related retail brokerage and/or investment advisory experience...+ Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of Available… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …education, and/or training approved by Human Resources. **Licenses/Certifications:** + Appropriate series license (s) for assigned functional area preferred or ... use of various reports and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA &...grandfathering cannot be applied. + Required to have a Series 7 , 9, 10 and 63 +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …education, and/or training approved by Human Resources. **Licenses/Certifications:** + Appropriate series license (s) for assigned functional area preferred or ... and analyze various communication reviews and content to ensure compliance with regulatory expectations and firm policies and procedures....grandfathering cannot be applied. + Required to have a Series 7 , 24 and 65, 63. … more
- Charles Schwab (Coral Gables, FL)
- …for bonus or incentive opportunities.** **What you have** **Required qualifications** + Active and valid Series 7 license + Active and valid Series 66 ... with business partners, sharing of best practices, and performing compliance and administrative tasks characteristic of our industry. If...equivalent Series 63 AND 65 OR CFP) license (s) required + Active and valid Series … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …combination of experience, education, and/or training. **Licenses/Certifications:** * Appropriate series license (s) for assigned functional area preferred or ... advisors and branch managers and recommend actions to ensure compliance with existing rules and regulations as well as...grandfathering cannot be applied. o Required to have a Series 7 and 66 o Series… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …of experience, education, and/or training. **Licenses/Certifications** + Series 7 Required, Series 9/10 or 24 license preferred + Appropriate series ... solutions to complex problems. **Essential Duties and Responsibilities** + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and… more
- Charles Schwab (Orlando, FL)
- …representatives to Senior Leadership. **What you have** Required Qualifications + Active and valid Series 7 license + Active and valid Series ... 66 license or equivalent + Active and valid Series 9/10 license or equivalent + 5+ years' supervision/ compliance /regulatory experience + Bachelor's… more
- Veterans Affairs, Veterans Health Administration (Miami, FL)
- …complete pre-employment requirements (https://www.uscis.gov/i-9-central/form-i-9-acceptable-documents). Effective May 7 , 2025, driver's licenses or state-issued ... appointed or reassigned to RRT positions in the GS-0601 series must possess and maintain for the duration of...the duration of employment a full, current and unrestricted license from a state to practice as an RRT.… more