- Raymond James Financial, Inc. (St. Petersburg, FL)
- …formal governance routines, issues and exam management, and ongoing reporting. As a senior advisor , you will support the Supervision Business Unit Risk Manager ... department supports business units by managing activity/account reviews, product oversight , escalation/approvals, and governance guided by specialized knowledge. Supervision… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …complex issues. **Essential Duties and Responsibilities** * Shares responsibility for the oversight of Business Records Programs to ensure compliance with the ... specialized training and/or certification in securities and/or banking industry to ensure compliance with all securities and/or banking rules and regulations as they… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …In addition, they will provide support in the following areas: legal and compliance issues, financial advisor support, analysis around products, and/or under ... Extensive contact with internal (ie, financial advisors, other team members, senior leadership, etc.) and external (ie, product issuers, product sponsors, industry… more