Senior Manager, Fixed Income Supervision (Saint Petersburg, FL)
Raymond James & Associates, Inc., Research Division(1 month ago)
About this role
A supervisory compliance professional focused on Fixed Income sales and trading who ensures adherence to regulatory requirements and firm policies. The role operates with a high level of autonomy, leveraging industry knowledge to support the firm’s supervisory program and serve as a liaison across control functions.
Required Skills
- Supervision
- Compliance
- Surveillance Reviews
- Regulatory Knowledge
- Trade Monitoring
- Policy Development
- Risk Management
- Analytical Reporting
- Stakeholder Management
- Training Development
+2 more
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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