- 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)
- …a supervisory team responsible for the oversight of Electronic Communications. This Senior Manager will lead the PCG branch Electronic Communications team. ... the firm. + Ensures effective coordination and communication occurs between supervision, PCG management, compliance , legal and other functional areas. + Monitors… more