Pursue an impactful opportunity as a Senior Compliance Officer with Raymond James on a 12-month contract. Ensure the organization's compliance with robust industry regulations while managing product and security risks.
As a vital member of the compliance unit, you'll oversee product compliance, conduct risk assessments, and support audits. Your ability to perform KYP assessments and respond to inquiries will ensure high standards of operational integrity. Collaborating with team members and providing training will enhance the overall effectiveness of the compliance framework.
Key Responsibilities:
• Monitor compliance standards for investment products
• Conduct risk assessments for managed accounts and funds
• Assist in management reporting and presentations
• Support compliance audits and regulatory requirements
• Deliver training on compliance topics to staff
Requirements:
• 5+ years in compliance within the securities domain
• Completion of the Branch M...