- Truist (Jacksonville, FL)
- …Purpose: Mitigate risk for the firm from financial, reputation and regulatory items by ensuring that the advisors, OSJs and/or branch offices are in compliance with ... industry rules, regulations as well as internal policies and procedures. Responsibility: Perform supervisory functions that are routinely associated with those of a retail broker/dealer. **ESSENTIAL DUTIES AND RESPONSIBILITIES** Following is a summary of the… more