Supervision Manager, Supervisory Solutions
Raymond James & Associates, Inc., Research Division(2 months ago)
About this role
A supervisory compliance role within a financial services firm focused on overseeing branch operations and ensuring adherence to firm and regulatory policies. The position serves as the primary liaison between branch offices and the home office, representing the organization to field personnel. It requires independent judgment to research and resolve complex compliance issues and occasional travel for branch supervisory visits.
Required Skills
- Supervision
- Regulatory Compliance
- Trade Review
- Account Review
- Risk Management
- Investigations
- Communication
- Leadership
- Project Management
- Travel
Qualifications
- Bachelor's Degree (B.A.)
- SIE
- Series 7
- Series 9/10
- Series 24
- Series 66
- Series 63/65
- Series 53 (Preferred)
- Life License (Preferred)
- Health License (Preferred)
+1 more
About Raymond James & Associates, Inc., Research Division
rjcapitalmarkets.comN/A
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