- 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)
- …corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset ... management. The Supervision department partners closely with the business to proactively...* Monitors and keeps up to date with applicable securities/ advisory regulations. * Interprets, applies and recommends changes to… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Sky laws and other regulatory agency rules and regulations regarding investment advisor , broker dealer and branch office registration. **Educational/Previous ... **Job Description** **Job Summary** Under Intermittent supervision , uses advanced knowledge and skills obtained through experience and training to supervise others… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …skills obtained through experience and/or formal training to assist Independent Registered Investment Advisory Firms and Financial Advisors to research and ... as a liaison between home office departments and Independent Registered Investment Advisors to research and resolve escalated issues regarding clients' accounts… more