Personal Information
Organization / Workplace
Tampa/St. Petersburg, Florida Area United States
Occupation
Compliance Advisor I
Industry
Finance / Banking / Insurance
About
- I conduct reviews and routinely analyze activities of Financial Advisors to identify irregularities and ensure compliance with organizational and regulatory agency rules and regulations. I evaluate processes and procedures for Compliance Department, and assist in alerting Management to current regulatory issues, relative to requirements of the financial self-regulatory organizations e.g. FINRA and SEC.
- I create, implement, and manage day-to-day operation of compliance systems (including various securities and reviews). I am responsible for communicating with Branches, Financial Advisors and in-house departments on Raymond James' policies and written supervisory procedures. By making...
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