- 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. (St. Petersburg, FL)
- …assist the governance team and compliance partners in communicating proposed compliance policy changes to specified associates within PCG Supervision to ... in the securities industry to coordinate governance routines on behalf of PCG Supervision. This role will coordinate with key associates within Supervision to… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to educate advisors on illustrated impact. Extensive knowledge of financial advisor compensation, transition assistance, account splits, various compliance ... with a large degree of autonomy in partnership with financial advisors, senior management, branch management, and other firm stakeholders to execute on succession… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …associates during functional reviews and provide advanced support to our PCG Branch departments, focusing specifically on the policies and procedures required ... by applicable regulations and firm policy. Effectively and professionally coordinate with senior members of Supervision, other managers, and advisors in order to… more