- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in making recommendations based on research and analysis conducted by the Supervision Advisor . + Maintain frequent contact and establish positive relationships ... education options. **Job Summary:** Raymond James is hiring a Supervision Senior Advisor to review and analyze...compliance with regulatory requirements and internal policies including potential conflicts of interest . Assess and report on… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …mentorships, and continuing education options. **Job Summary:** Raymond James is hiring a Supervision Advisor to review and analyze potential rule violations and ... to ensure compliance with regulatory requirements and internal policies, including potential conflicts of interest . Assess and report on compliance risks,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …ingenuity and provides comprehensive solutions to complex problems. **Functional areas include** Conflicts of Interest : detect and prevent possible employee ... in addition to capital markets and asset management. The Supervision department partners closely with the business to proactively...conflicts of interest including Outside Business Activities, Sponsorships, Gifts & Entertainment,… 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 ... James policies and procedures. The Senior Manager - COI Supervision reports directly to the Director - COI ...significant impact. + Maintains and executes enhancements to the Conflicts of Interest systems for the firm.… more
- Truist (Orlando, FL)
- …procedures, training and identification of potential harmful trends, sales practice patterns, conflicts of interest or issues that potentially pose a risk ... associates in CSG processes for the respective complex/division. + Primary approval of advisor Regulation Best Interest documentation as it pertains to trigger… more
- Truist (Orlando, FL)
- …procedures, training and identification of potential harmful trends, sales practice patterns, conflicts of interest or issues that potentially pose a risk ... keep abreast of observations, trends and policy oversights + Primary approval of advisor Regulation Best Interest documentation as it pertains to trigger events… more