Description
Elevate compliance standards as the Compliance Manager at Raymond James (USA) Ltd. You'll oversee regulatory adherence and support financial teams to ensure compliance success.
In this critical leadership position, you'll manage compliance processes according to FINRA and SEC regulations. Collaborating with the Chief Compliance Officer, you'll drive strategic initiatives while leading a dedicated team in achieving regulatory goals. Your role is essential in guiding financial advisors and enhancing overall compliance measures.
Key Responsibilities:
• Manage compliance with FINRA rules and SEC regulations
• Optimize retail and ECM branch inspection processes
• Engage in audits and regulatory inquiries
• Handle customer complaints and investigations
• Coach and mentor compliance professionals
Requirements:
• Minimum 5 years’ experience in finance, 3 or more in compliance
• Relevant degree preferred (MBA, JD, ...
In this critical leadership position, you'll manage compliance processes according to FINRA and SEC regulations. Collaborating with the Chief Compliance Officer, you'll drive strategic initiatives while leading a dedicated team in achieving regulatory goals. Your role is essential in guiding financial advisors and enhancing overall compliance measures.
Key Responsibilities:
• Manage compliance with FINRA rules and SEC regulations
• Optimize retail and ECM branch inspection processes
• Engage in audits and regulatory inquiries
• Handle customer complaints and investigations
• Coach and mentor compliance professionals
Requirements:
• Minimum 5 years’ experience in finance, 3 or more in compliance
• Relevant degree preferred (MBA, JD, ...
Ready to Seal the Deal?
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