Senior Manager, Fixed Income Supervision - St. Petersburg

Only for registered members St. Petersburg, United States

1 month ago

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Job summary

The Senior Manager will oversee internal reviews to ensure compliance with regulatory requirements and develop compliance policies in liaison. They will also review day-to-day trading activity and alert management for Fixed Income Sales.

Responsibilities

  • Serves as a member of the Supervision team in assisting to ensure proper goals and initiatives to achieve strategic supervision program for Fixed Income Sales.
  • Collects and reviews internal and external market data to ensure compliance with Raymond James trading policies, FINRA requirements, and SEC regulations.

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