- Raymond James Financial, Inc. (St. Petersburg, FL)
- …knowledge and skills obtained through education and experience to ensure compliance of investment advisory business practices with Advisers Act, state laws, and ... with the Control Room on daily monitoring. * Interprets data and analyzes investment advisory activities identified via various data systems and reporting.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …programs, mentorships, and continuing education options. **Job Summary:** The Field Supervision Manager /Division Supervision Manager (FSM/DSM) ... 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)
- **Description** **Job Summary** Under administrative supervision and with intermittent level of autonomy, uses knowledge and skills obtained through education and ... to develop tactical plans for compliance initiatives including monitoring, testing, advisory and data analysis. Provides comprehensive solutions to complex problems… more