- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Description** **Department Overview:** Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond ... values of client first, conservatism, independence and integrity. At Raymond James, we are putting the power of perspectives...use of various reports and systems. * Pro-actively ensures compliance with applicable industry rules (ie State, FINRA &… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Description** **Department Overview:** Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond ... to our core values of client first, conservatism, independence and integrity. At Raymond James, we are putting the power of perspectives into action and building… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …other internal reports for employee adherence with rules and regulations. * Advises Senior Compliance Management on issues that involve possible rule violations ... as intended and commensurate with the level of risk being mitigated. Coordinates compliance functions, guides compliance efforts, and act as a liaison between… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Description** **Department Overview:** Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond ... to our core values of client first, conservatism, independence and integrity. At Raymond James, we are putting the power of perspectives into action and building… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Description** **Department Overview:** Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond ... to our core values of client first, conservatism, independence and integrity. At Raymond James, we are putting the power of perspectives into action and building… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …FL, office location._ **Job Summary** This associate will operate within the Advisor Technology group, which is focused on delivering tools and applications that ... support the advisor and support staff's day-to-day branch operations. The associate...stakeholders such as financial advisors, operations, and legal and compliance to research, analyze and resolve business problems/opportunities. +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Description** **Department Overview:** Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond ... to our core values of client first, conservatism, independence and integrity. At Raymond James, we are putting the power of perspectives into action and building… more
- Raymond James Financial, Inc. (Baltimore, MD)
- …career opportunities. **Job Summary** Under mentorship and supervision of a Senior consultant develop specialized knowledge, skills, and experience through a ... * Prepare and review deliverables for accuracy and quality * Annual compliance testing and employer contribution calculations * Form 5500 preparation and audit… more
- Raymond James Financial, Inc. (San Jose, CA)
- …and communicate results to a diverse set of parties. Regular contact with senior management and other internal and external customers is required to identify, ... **Travel Required:** Yes, 10 % of the Time For more information about Raymond James & Associates (RJA) and Northwest Plan Services (NWPS), please visit:… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …uses knowledge and skills, obtained through education and/or Registered Investment Advisor (RIA) and introducing broker dealer (IBD) training, to conduct risk ... to independent RIAs and introducing broker-dealers (IBDs) that clear and custody with Raymond James. Guidance is provided to perform varied work that is difficult in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …prevention system, including testing and installation of software updates. * Informs senior compliance management about issues that may involve rule violations ... specialized knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training and/or certification to monitor… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …during functional reviews and provide advanced support to our Financial Advisor and Corporate Advisory departments, focusing specifically on the policies and ... applicable regulators for advertising materials. Effectively and professionally coordinate with senior members of Supervision, other managers, and advisors in order… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to educate advisors on illustrated impact. Extensive knowledge of financial advisor compensation, transition assistance, account splits, various compliance ... with a large degree of autonomy in partnership with financial advisors, senior management, branch management, and other firm stakeholders to execute on succession… more