- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and continuing education options. **Job Summary:** The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives ... include - advisory account appropriateness, fiduciary and investment advisory reviews, IAR meetings with clients,...* May participate in the development and implementation of Advisory Supervision policies and/or procedures. * Performs… more
- 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. (Sarasota, FL)
- **Description** **Job Summary** : Under branch manager direction manage the overall operational efficiency of the branch office. Directs day to day operational ... office workflow. * Completes self-audit of branch procedures. * Assists Branch Manager with confidential matters and compliance visits and replies. * Assists Branch… more