JACKSONVILLE, FL4 days ago
Refer opportunities to segment partners where appropriate (including, but not limited to Senior Wealth Advisor, Small Business Partners, Home Lending Officer, Digital Wealth Solutions, etc.) Manage client follow-up and adhere to all Regulatory and Compliance operating procedures Ensure that KYC/AML and other compliance norms are strictly adhered to Appropriately assess risk when business decisions are made, demonstrating consideration for the firm's reputation and safeguarding our firm, its clients, and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behaviour, conduct and business practices, and escalating, managing and reporting control issues with transparency. Securities Industry Essentials – SIE - Active Series 7 & Series 66 (combo of 63 and 65) licenses (required) THEY CANNOT HAVE A LAPSE OF TWO YEARS FROM PREVIOUSLY WORKING AT A FINANCIAL INSTITUATION THAT HELD THEIR LICENSE…AS THIS WOULD CAUSE THE LICENSE TO EXPIRE Bachelor’s/University degree, master’s degree preferred Our client is a leading Financial services Industry and we are currently interviewing to fill this and other similar contract positions.