Become a key player at Raymond James as the Manager of RJLU Compliance, ensuring adherence to regulatory standards for the financial industry. This role entails guiding compliance practices while managing a motivated team.
As a compliance manager, you will report to the Chief Compliance Officer and oversee RJLU’s compliance program, ensuring compliance with FINRA, SEC, and state regulations. You'll maintain compliance policies and procedures while training members of your team to handle day-to-day compliance challenges effectively. Your leadership will be critical in addressing regulatory inquiries and enhancing compliance processes.
Key Responsibilities:
• Manage compliance under FINRA and SEC rules
• Oversee enhancements to inspection programs
• Respond to regulatory information requests
• Direct investigations and customer complaint resolutions
• Train and develop team compliance skills
Requirements:
• 5+ years in finance, with 3+ years in compliance
• ...