Patty Balezentis
SVP - Head of PCG Supervision Governance and Reporting
- Role
- SVP - Head of Pcg Supervision Governance and Reporting at Raymond James
- Location
- Tampa, FL, US
- LinkedIn followers
- 500 followers
About Patty Balezentis
General Securities Representative (FINRA Series 7) General Securities Sales Supervisor (FINRA Series 9 & 10) Uniform Securities Agent State Law & Advisor Law (FINRA Series 63 & 65)National Commodity Futures (FINRA Series 3)Assistant Representative – Order Processing (FINRA Series 11)
Experience
SVP - Head of Pcg Supervision Governance and Reporting
Jul 2018 — Present · Tampa/St. Petersburg, FL, US
Responsible for the strategic design and implementation of core program-level Supervision functions, including the framework for metrics reporting, quality assurance routines, issues management, regulatory exam coordination, regulatory change management, supervision control governance, and heightened supervision and conduct.
Education
The City University of New York
Bachelor of Science - BS
Skills
- Series 10
- Capital Markets
- Series 7
- Asset Management
- Series 9
- Series 11
- Bank Secrecy Act
- Series 3
- Alternative Investments
- Series 65
- Banking
- Aml
- Series 63
- Equities
- Finra
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