Senior Manager, Fixed Income Supervision (Memphis, TN)
Raymond James & Associates, Inc., Research Division(1 month ago)
About this role
A Fixed Income Supervision professional at Raymond James provides regulatory oversight for the firm's fixed income sales and trading activities. The role draws on extensive knowledge of SEC and FINRA rules and serves as a liaison between business units and control partners to support the firm's supervisory framework. It is a senior compliance-facing position focused on aligning supervisory programs with firm policy and regulatory requirements.
Required Skills
- Supervisory Review
- Regulatory Compliance
- Surveillance Reviews
- Trade Monitoring
- Risk Management
- Analytical Reporting
- Relationship Management
- Written Procedures
- Training Development
- Communication
Qualifications
- Bachelor's in Accounting
- Bachelor's in Business Administration
- Securities Industry Essentials (SIE)
- FINRA Series 7
- FINRA Series 24
- FINRA Series 9/10
About Raymond James & Associates, Inc., Research Division
rjcapitalmarkets.comN/A
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