- Raymond James Financial, Inc. (St. Petersburg, FL)
- …supervision, uses knowledge and skills obtained through education and experience to ensure compliance of investment advisory business practices with Advisers ... * Provides compliance support in the development and enhancement of compliance oversight programs for investment advisory activities, products and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … compliance activities are commensurate with the level of risk. * Informs Senior Compliance Management about issues that may involve rule violations or ... Compliance , Legal and business teams to develop tactical plans for compliance initiatives including monitoring, testing, advisory and data analysis. Provides… more
- Bank of America (Sarasota, 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …conferences, senior level advisor and client seminars, branch presentations, advisory councils, and other sales functions. * Represents the firm at industry ... conferences, senior level advisor and client seminars, branch presentations, advisory councils, and other sales functions. * Represents the firm at industry… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and/or branch management. * Reviews and advises on supervisory processes and compliance policies requiring senior management approval. * Conducts periodic ... advisory state registrations if required by state. **Job:** Compliance **Primary Location:** US-FL-St. Petersburg-Saint Petersburg **Organization** Supervision **Schedule**… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Azure, AWS, Redshift, Confluence, Azure DevOps * Financial markets, products, financial advisory function, and investment process. * Advanced AML/FCM client ... reporting and associated analytics. * Interact with C-level/executives, business and compliance partners and financial advisors. * Coaches and mentors staff,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …as Private Client Group (PCG) Education. They also partner with Procurement, Compliance , Legal, Supervision and other departments to ensure that outside resources ... departments and leadership across the firm, including Regional Management, PCG Education, Senior and At-Risk Clients, RJ Trust, and RJ Insurance Group. * Support… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Azure, AWS, Redshift, Confluence, Azure DevOps. * Financial markets, products, financial advisory function, and investment process. * Advanced AML/FCM client ... a way that is widely consumable and understood by non-technologists and senior leaders. * Operating standard office equipment and using required software… more