Senior Advisor, Supervision- Supervisory Solutions
Raymond James & Associates, Inc., Research Division(1 month ago)
About this role
A Supervision team member at Raymond James Financial supports the firm’s risk mitigation and client-protection efforts by ensuring branches adhere to firm and regulatory policies. The role is part of the Supervision department and contributes to governance, oversight, and maintaining the firm’s values while supporting associate development and inclusive culture.
Required Skills
- Supervisory Oversight
- Trade Review
- Account Review
- Regulatory Compliance
- Risk Management
- Communication
- Analytical Thinking
- Problem Solving
- Licensing Coordination
- Client Escalation
+2 more
Qualifications
- Bachelor's Degree (B.A.)
- Series 7
- Series 9/10
- Series 24
- Series 66
- Series 65
- Series 63
- Series 53 (Preferred)
- Life Insurance License (Preferred)
- Health Insurance License (Preferred)
+1 more
About Raymond James & Associates, Inc., Research Division
rjcapitalmarkets.comN/A
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