- Raymond James Financial, Inc. (St. Petersburg, FL)
- …at Raymond James after graduation. **Department Overview** Raymond James Supervision supports business units by managing activity/account review, product oversight, ... escalation/approvals and governance. Supervision partners closely with the business to proactively manage...manage risk and develop appropriate review processes. Positions in Supervision cover a wide range of roles such as… more
- TD Bank (Coral Gables, FL)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with ... and TD Wealth Management Services Inc. (TDWMSI). The Central Supervision Analyst performs essential trade surveillance and electronic communications monitoring… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …financial planning, in addition to capital markets and asset management. The Supervision department partners closely with the business to proactively mitigate risk. ... product oversight, escalation/approvals and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …financial planning, in addition to capital markets and asset management. The Supervision department partners closely with the business to proactively mitigate risk. ... product oversight, escalation/approvals, and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Job Summary** The Senior Manager of Conflicts of Interest ("COI") Supervision will manage a supervisory team responsible for oversight of the firm's Outside ... James policies and procedures. The Senior Manager - COI Supervision reports directly to the Director - COI ...Supervision reports directly to the Director - COI Supervision . The leader must have strong problem-solving and decision-making… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Job Summary** Under general supervision , uses extensive knowledge and skills obtained through experience, specialized training and/or certification in securities ... & SEC) and platform policies and procedures as they apply to various supervision activities. + Investigates client concerns and grievances through the use of various… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …financial planning, in addition to capital markets and asset management. The Supervision department partners closely with the business to proactively mitigate risk. ... product oversight, escalation/approvals and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …financial planning, in addition to capital markets and asset management. The Supervision department partners closely with the business to proactively mitigate risk. ... product oversight, escalation/approvals and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …research, and resolve problems. **Essential Duties and Responsibilities:** + Conducts supervision review of communications, through the use of various reports and ... regarding communications and applies them accordingly. + Assists in researching Supervision issues. + Assists in developing training programs, including maintaining… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …financial planning, in addition to capital markets and asset management. The Supervision department partners closely with the business to proactively mitigate risk. ... product oversight, escalation/approvals and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the… more
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