- Raymond James Financial, Inc. (CO)
- …specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage offices throughout the US Exams include ... branches. **Essential Duties and Responsibilities** + Execution of the risk-based branch exam program in FINRA-registered and non-registered Private Client Group… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …regulations, and firm policies, providing compliance education to new and existing PCG branch associates, conducting various surveillance reviews, working on ad ... industry rules, regulations, and firm policies. * Provides compliance training to new PCG branch associates. * Delivers educational content to PCG branch … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …oversight of Electronic Communications. This Senior Manager will lead the PCG branch Electronic Communications team. Under limited direction, directs and ... **Job Description** **Job Summary:** Senior Manager of E-comm Supervision will manage a...supervisory issues. **Essential Duties and Responsibilities:** + Lead the PCG branch Electronic Communication team of managers… more