Raymond James Financial
Adam Theriault has extensive experience in the finance industry, primarily with Raymond James Financial. Since September 2019, Adam has held the position of Director of Supervision for Traditional Products, having previously served as Manager of Supervision for the same area. Prior to these roles, Adam worked as an Advisor in Supervision for Traditional Products from January 2019 to July 2019, and earlier served as a Municipal Bond Underwriter/Trader from November 2007 to October 2018.
This person is not in any teams
This person is not in any offices
Raymond James Financial
2 followers
Under intermittent supervision, uses knowledge and skills obtained through education, experience, specialized training and/or certification in securities and/or banking industry to ensure compliance with all securities and/or banking rules and regulations. Coordinates compliance functions, guides compliance efforts, and acts as a liaison between functional areas. Assists with large projects with significant scope and impact. Works independently on difficult assignments that are broad in nature and require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Develops recommendations for departmental and business processes and procedures to improve internal controls and mitigation strategies. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.