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Advisor, Supervision - Investment Advisory (Remote Option Available)
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Full-time
Remote
- Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management.
- The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations and guidelines as well as firm policies governing advisory accounts.
- Monitors the sales practices, fiduciary and investment advisory activities of advisors and branch managers through the use of various reports and systems.
- Concepts, practices, and procedures of securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity.
- Principles of banking, finance, and securities industry operations
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