Become the RJLU Compliance Manager at Raymond James (USA) Ltd. and take charge of compliance oversight. Drive regulatory excellence while collaborating with diverse teams in a full-time capacity.
As RJLU’s Compliance Manager, you will report directly to the Chief Compliance Officer and manage compliance programs in accordance with FINRA and SEC requirements. Your role includes offering guidance to financial teams, leading compliance initiatives, and ensuring alignment with regulatory obligations. It’s a chance to make an impact while being a vital resource to various departments.
Key Responsibilities:
• Ensure compliance with FINRA, SEC, and SEA regulations
• Improve retail and ECM inspections through process enhancements
• Participate in audits and manage regulatory requests
• Address customer complaints and conduct internal reviews
• Foster team development through training and guidance
Requirements:
• 5+ years in finance, with 3+ in compliance roles
• P...