- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Job Description Summary** The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC ... firm policies governing advisory accounts. A Senior Advisor , general investment advisory is...complexity. **Job Description** **Job Summary:** The Advisory Supervision team provides fiduciary oversight of Investment … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …arise related to client accounts. * Monitors and keeps up to date with advisory regulations. * Assists in researching Supervision , Compliance and other issues. * ... **Job Description** **Job Summary:** Under limited supervision , uses specialized knowledge and skills obtained through...to liaison between functional areas. Serves as a Technical Advisor to teams. Some guidance is provided to perform… more
- 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 ... and continuing education options. **Job Summary:** Raymond James is hiring a Supervision Senior Advisor to review and analyze account disclosures and… 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 ... corporations, and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …complied with within reasonable risk and cost parameters. Under limited supervision , uses extensive knowledge and skills obtained through education, experience, ... corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …planning to close, including communication of findings and interaction with the Investment Advisory Chief Compliance Officer and senior management. Maintains ... **Job Description** **Job Summary** Under general supervision , uses extensive knowledge and skills obtained through experience, specialized training and/or… more
- Truist (Tampa, FL)
- …+ 5 or more years related retail brokerage and/or investment advisory experience with an emphasis in Supervision /Compliance. + Must have exceptional ... cases. + Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations. + Strong organizational… more