- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and internal policies, and develop and implement compliance policies in liaison with regulators. Assess and report on compliance risks, investigate incidents ... to administer and analyze complex suitability reviews to detect trends, trading patterns and possible rules violations to ensure adherence to securities… more
- Truist (Tampa, FL)
- …Perform supervisory functions that are routinely associated with those of a retail broker/dealer. Actively engage field associates and serve as a dedicated resource ... manner. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems to… more