- Raymond James Financial, Inc. (CO)
- …Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and ... and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage… more
- Truist (Charlotte, NC)
- …or filed with the Truist Board of Directors and Executive Leadership, Securities and Exchange Commission (SEC), Federal Deposit Insurance Corporation (FDIC) and ... other business units). + Review and update policies and procedures for compliance with governmental regulations and corporate polices and standards. + Coordinate… more