Supervision Manager, Supervisory Solutions - St. Petersburg
1 month ago

Job summary
Manages supervision oversight ensuring adherence to firm and regulatory policies and procedures.Monitors day-to-day activities of financial advisors and registered sales assistants to ensure compliance with internal policies and procedures external regulations.
Responsible for ensuring any identified policy violations or branch deficiencies are addressed with the branch fully remediated.
Travel to branch locations to perform required annual Branch Manager Supervisory Visits.Job description
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