Supervision Manager, Supervisory Solutions
Raymond James & Associates, Inc., Research Division(1 month ago)
About this role
This role provides supervisory oversight for branch offices in Idaho, Oregon, and Washington, ensuring adherence to firm and regulatory policies. The person serves as the primary organizational representative to branches and collaborates with field and home office management to address compliance and operational issues. The position requires extensive securities industry knowledge and experience and includes periodic travel to branch locations.
Required Skills
- Supervision
- Trade Review
- Email Review
- Advertising Review
- Account Review
- Regulatory Compliance
- Risk Analysis
- Communication
- Presentation
- Leadership
+2 more
Qualifications
- Bachelor’s Degree
- SIE
- Series 7
- Series 9/10
- Series 24
- Series 66
- Series 63
- Series 65
- Series 53 (preferred)
- Life License (preferred)
+2 more
About Raymond James & Associates, Inc., Research Division
rjcapitalmarkets.comN/A
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