- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Job Summary:** The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations ... and guidelines as well as firm policies governing advisory accounts. A Senior Advisor , general investment advisory is expected to conduct reviews which… more
- Navy Federal Credit Union (Pensacola, FL)
- …to obtain appointment by the sponsoring insurance company, broker-dealer and/or Registered Investment Advisory Firm + Experience in business development to ... and services to achieve the financial client's goals as a registered representative/ advisor /agent of Navy Federal Investment Services (NFIS) and subsidiaries, or… more
- 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 ... and continuing education options. **Job Summary:** Raymond James is hiring a Supervision Senior Advisor to review and analyze account disclosures and… 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 ... corporations, and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset ... management. The Supervision department partners closely with the business to proactively...* Monitors and keeps up to date with applicable securities/ advisory regulations. * Interprets, applies and recommends changes to… more
- Bank of America (Miami, FL)
- …transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America. ... Merrill Market Supervision Manager Miami, Florida **To proceed with your...is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions.… more
- Bank of America (Destin, FL)
- …transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America. ... Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth… more
- Truist (Orlando, FL)
- …+ 5 or more years related retail brokerage and/or investment advisory experience with an emphasis in Supervision /Compliance. + Must have exceptional ... cases. + Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations. + Strong organizational… more
- Truist (Tampa, FL)
- …Licensing + 7 years related retail brokerage and/or investment advisory experience with an emphasis in Supervision /Compliance. Must have exceptional ... cases. + Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations. + Strong organizational… more
- Truist (Jacksonville, FL)
- …+ 5 or more years related retail brokerage and/or investment advisory experience with an emphasis in Supervision /Compliance. + Must have exceptional ... cases. + Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations. + Strong organizational… more
Recent Jobs
-
Material handler/Forklift Driver - (8:30 AM - 5:00 PM)
- Arrow Electronics (Reno, NV)
-
Senior Technical Infrastructure Program Manager, AIS Supply Planning
- Amazon (Seattle, WA)
-
Integration Technician, Recovery (Long Beach)
- SpaceX (Long Beach, CA)