- Raymond James Financial, Inc. (NY)
- …Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and ... and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage… more
- Federal Reserve Bank (Richmond, VA)
- …the team. The Vice President is also responsible for ensuring team members' compliance with Unit, Department, Reserve Bank and System policies and procedures. The ... Subsidiaries (ex: mortgage, insurance, etc.) Provides insights for effective compliance monitoring, financial reporting and regulatory oversight. + Talent… more