- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Essential Duties and Responsibilities:** + Monitors the sales practices, fiduciary and investment advisory activities of advisors and branch managers through ... and branch managers. + Monitors and keeps up to date with securities/ advisory regulations and applies them accordingly. + Interprets, applies, and recommends changes… more
- Truist (Tampa, FL)
- …Licensing + 7 years related retail brokerage and/or investment advisory experience with an emphasis in Supervision /Compliance. Must have exceptional ... Divisional Supervisors tasked with supervisory oversight and monitoring of the firm's Investment Advisory business. Assist with escalated items as requested from… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Under limited supervision , the Associate utilizes knowledge of finance and investment concepts obtained through education and work experience in order to provide ... those funds on the "Recommended Funds" list for financial advisor use. + Playing a pivotal role in decisions...measurement. + Macro and microeconomics and their impact on investment strategies. + Financial markets, products, financial advisory… more