Overview

Join Raymond James (USA) Ltd. as the Compliance Manager for RJLU. Oversee compliance processes while ensuring regulatory adherence and providing support to financial teams. In this pivotal role at Raymond James, you will be responsible for managing compliance oversight according to FINRA and SEC guidelines. Collaborating closely with the Chief Compliance Officer and engaging various teams, you will implement strategic compliance initiatives and lead a small team toward achieving regulatory standards. Your expertise will help guide financial advisors and enhance our compliance landscape.

Responsibilities

• Manage compliance with FINRA rules and SEC regulations
• Optimize retail and ECM Branch Inspections processes
• Engage in audits and respond to regulatory inquiries
• Handle customer complaints and investigations
• Coach and mentor compliance professionals

Qualifications

• Minimum 5 years’...