- Raymond James Financial, Inc. (New York, NY)
- …Clear communication of all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and complete any related ... and adverse trends are identified and escalated + Provide compliance support to business partners, as needed + Maintain...organized + Gain a thorough understanding and application of PCG policies and procedures + Shift focus from one… more
- Raymond James Financial, Inc. (New York, NY)
- …and engagement across teams and stakeholders. + Collaborate closely with Risk, Legal, Compliance , and PCG to ensure supervisory practices align with regulatory ... expectations, mitigate firm risk, and support advisor and client outcomes. + Develop and implement a...advisory programs. + Monitor regulatory changes and ensure firm-wide compliance across advisory activities. + Foster a continuous improvement… more