Raymond James Ltd. seeks a Compliance Officer specializing in Product Risk to navigate regulatory frameworks. This full-time, 12-month contract is ideal for seasoned compliance specialists.
As a key player, you will oversee compliance for various investment products and develop risk assessment strategies. Your responsibilities include facilitating audits, preparing compliance reports, and handling internal inquiries regarding compliance issues. You will ensure that all operations align with regulatory standards and internal policies.
Key Responsibilities:
• Execute compliance duties related to product and security risk
• Prepare reports for management and compliance assessments
• Facilitate reviews and audits for investment products
• Guide the compliance help desk and respond to inquiries
• Deliver training sessions to enhance compliance understanding
Requirements:
• At least 5 years of experience in compliance
• Completion of Branch Manager or equivalent...