- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in making recommendations based on research and analysis conducted by the Supervision Advisor . + Maintain frequent contact and establish positive relationships ... education options. **Job Summary:** Raymond James is hiring a Supervision Senior Advisor to review and analyze...compliance with regulatory requirements and internal policies including potential conflicts of interest . Assess and report on… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …mentorships, and continuing education options. **Job Summary:** Raymond James is hiring a Supervision Advisor to review and analyze potential rule violations and ... to ensure compliance with regulatory requirements and internal policies, including potential conflicts of interest . Assess and report on compliance risks,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …ingenuity and provides comprehensive solutions to complex problems. **Functional areas include** Conflicts of Interest : detect and prevent possible employee ... with within reasonable risk and cost parameters. Under limited supervision , uses extensive knowledge and skills obtained through education,...conflicts of interest including Outside Business Activities, Sponsorships, Gifts & Entertainment,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Job Description** **Job Summary** The Senior Manager of Conflicts of Interest ("COI") Supervision will manage a supervisory team responsible for oversight ... James policies and procedures. The Senior Manager - COI Supervision reports directly to the Director - COI ...significant impact. + Maintains and executes enhancements to the Conflicts of Interest systems for the firm.… more
- Truist (Tampa, FL)
- …procedures, training and identification of potential harmful trends, sales practice patterns, conflicts of interest or issues that potentially pose a risk ... associates in CSG processes for the respective complex/division. + Primary approval of advisor Regulation Best Interest documentation as it pertains to trigger… more