- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and/or certification to ensure the tactical and strategic success of the firm's PCG Compliance program. Responsibilities include but are not limited to providing ... advice and guidance on industry rules, regulations, and firm policies, providing compliance education to new and existing PCG branch associates, conducting… more
- Raymond James Financial, Inc. (New York, NY)
- …Clear communication of all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and complete any related ... and adverse trends are identified and escalated + Provide compliance support to business partners, as needed + Maintain...organized + Gain a thorough understanding and application of PCG policies and procedures + Shift focus from one… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and continuing education options. **Job Summary:** Raymond James is hiring a Supervision Senior Advisor to review and analyze account disclosures and transaction ... regulations and limit firm liability. Conduct internal reviews to ensure compliance with regulatory requirements and internal policies including potential conflicts… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the firm. + Ensure effective coordination and communication occurs between supervision, PCG management, compliance , legal and other functional areas. + Perform ... **Job Summary** The Senior Manager of Conflicts of Interest ("COI") Supervision...with Advisors and Associates to recommends actions that ensure compliance with existing rules and regulations as well as… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Office location. **Job Summary:** We are seeking a highly analytical and detail-oriented Senior Product Manager who will focus on delivering a new suite of strategic ... requirements to technical specifications. + Partner with stakeholders such as PCG Management, Divisional Directors, financial advisors, operations, and legal and … more