- 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