• Summer Internship - Supervision Intern…

    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
    Raymond James Financial, Inc. (08/01/25)
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  • Central Supervision Analyst

    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
    TD Bank (07/31/25)
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  • Senior Advisor, Conflicts of Interest…

    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. (07/26/25)
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  • Advisor, Conflicts of Interest Supervision

    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. (07/26/25)
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  • Senior Manager, Supervision Conflicts…

    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. (06/21/25)
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  • Advisor, Supervision - Dispute Resolution

    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. (07/29/25)
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  • Senior Advisor, Conflicts of Interest…

    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. (06/04/25)
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  • Senior Associate, Supervision - Social…

    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. (07/26/25)
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  • Advisor, Supervision - Communications…

    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. (07/26/25)
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  • Senior Associate, Supervision - E-Comm…

    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. (07/26/25)
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