- Raymond James Financial, Inc. (St. Petersburg, FL)
- …sufficient to act in a sponsorship role. + Principles of finance and securities industry operations . + Financial markets and products. + Performance management. ... Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination. more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in the securities industry. + Principles of banking and finance and securities industry operations . + Financial markets and products. **Advanced Skill in:** ... and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of… more
- Raymond James Financial, Inc. (Memphis, TN)
- …in the securities industry. + Principles of banking and finance and securities industry operations . + Financial markets and products. **Advanced skill in:** ... and Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance. + Rules and regulations of: … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …is beneficial but not required + Principles of banking and finance and securities industry operations . + Financial markets and products. **Advanced skill in:** ... and Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance. + Rules and regulations of the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in the securities industry. + Principles of banking and finance and securities industry operations . + Financial markets and products. **Advanced skill in:** ... and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance. + Rules and regulations of: … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …compliance issues involved with retail activity. + Principles of banking, finance, and securities industry operations + Rules and regulations of the ... trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Some guidance is provided to… more
- Raymond James Financial, Inc. (Denver, CO)
- …the securities industry. + Principles of banking and finance and securities industry operations . + Financial markets and products. + Administering Anti-Money ... Under limited direction, uses extensive knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and may contact branch/FA as needed + Oversight of the coding of eligible securities with RJ Operations + Provides subject matter expertise and guidance for ... as a subject matter expert and owner of the securities backed loan portfolio risk management and monitoring process...internal template with Bloomberg or Thompson Reuters for RJB securities backed lending portfolio + Ensure accurate completion of… more
- Raymond James Financial, Inc. (Denver, CO)
- …the securities industry. + Principles of banking and finance and securities industry operations . + Familiarity with project management terminology and ... + Collaborate with stakeholders across Fraud, Analytics, Compliance, Legal, Risk, Operations , Technology, and business units to ensure alignment and effective… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the securities industry. * Principles of banking and finance and securities industry operations . * Financial markets and products including annuities, UITs, ... and constantly evolving practices. * Assists clients, branches, advisors, and back-office operations with general questions on all aspects of our business and… more