- Raymond James Financial, Inc. (St. Petersburg, FL)
- …skills obtained through experience, specialized training and/or certification in securities compliance to ensure compliance with all securities and regulations ... a specific business unit. May be responsible for coordinating compliance meetings, and/or developing training programs. Must be able...of moderate scope and complexity. Serves as a Technical Advisor to teams. Some guidance is provided to perform… more
- Raymond James Financial, Inc. (FL)
- …Clear communication of all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and complete any related ... and adverse trends are identified and escalated + Provide compliance support to business partners, as needed + Maintain...organized + Gain a thorough understanding and application of PCG policies and procedures + Shift focus from one… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Advisors in training and accountability initiatives. Serves as a liaison between the Advisor Development Programs group to PCG branch offices and new and ... or projects of moderate scope and complexity and/or serves as a technical advisor to others. Extensive contact with internal customers to identify, research, and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the firm. + Ensures effective coordination and communication occurs between supervision, PCG management, compliance , legal and other functional areas. + Monitors ... accordingly. + May participate in the formation of policies related to compliance . + Performs other duties and responsibilities as assigned **Knowledge, Skills, and… more