- Citigroup (San Antonio, TX)
- …Regulatory breaks. + Has the ability to operate with a limited level of direct supervision . + Can exercise independence of judgement and autonomy. + Acts as SME to ... senior stakeholders and /or other team members. + Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with… more
- Raymond James Financial, Inc. (CO)
- …conducts certain back-end exception reviews, as well as some packaged product supervisory functions. The team conducts analysis as part of complex suitability ... use knowledge of industry regulations to support the Traditional Products supervision function that administers and analyzes suitability reviews to detect trends… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …problems. The Senior Advisor in this role will support Raymond James' Private Client Group to analyze various supervisory and general fiduciary reviews to ... **Job Description Summary** The Advisory Supervision team provides fiduciary oversight of Investment Adviser...Advisor in this role will support Raymond James' Private Client Group to analyze various supervisory and… more
- Raymond James Financial, Inc. (CO)
- …annuity and insurance transaction exception reviews as well as packaged product supervisory functions. The team conducts analysis as part of complex suitability ... insurance transaction exception reviews as well as packaged product supervisory functions. The team conducts analysis as part of...to resolve any conflicts that may arise related to client accounts. * Monitors and keeps up to date… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Job Description** **Job Summary:** Under limited supervision , uses specialized knowledge and skills obtained through experience, specialized training or ... Approves day-to-day trading activity. May be responsible for coordinating supervision functions, developing training programs and ability to liaison between… more
- Raymond James Financial, Inc. (CO)
- …manner. * Interfaces with specific business platform sales management associates, other supervision associates and compliance associates, to inform them of any ... supervisory concerns that may arise with branch office managers...to resolve any conflicts that may arise related to client accounts of the branch managers. * Monitors and… more
- Raymond James Financial, Inc. (Southfield, MI)
- …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. (Southfield, MI)
- …Detail orientation to ensure the regulatory liability is limited, without impairing workflow . * Conducting social media related supervision reviews **Ability ... with outside regulatory requirements and internal policies. Under limited supervision , uses specialized knowledge and skills obtained through experience, specialized… more
- Raymond James Financial, Inc. (Southfield, MI)
- …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)
- …interpret laws and regulations in light of operations. Under limited supervision , uses specialized knowledge and skills obtained through experience, specialized ... and resolve problems. **Job Description** **Job Summary:** Under limited supervision , uses specialized knowledge and skills obtained through experience, specialized… more
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