Under intermittent supervision, uses knowledge and skills obtained through education, experience, specialized training and/or certification in securities and/or banking industry to ensure compliance with all securities and/or banking rules and regulations. Coordinates compliance functions, guides compliance efforts, and acts as a liaison between functional areas. Assists with large projects with significant scope and impact. Works independently on difficult assignments that are broad in nature and require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Develops recommendations for departmental and business processes and procedures to improve internal controls and mitigation strategies. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.

Banking

Raymond James Financial

Paul Reilly

Heather Wolfe Schaul

Kophi Niamien

Leslie Ambs

Lizzette Inchaustegui

Lindsay Wilhelm

Jimmy Edwards

Navin Ganga

Mark Thannisch

Bella Loykhter Allaire

Adam Theriault

Chelsea B.

Jason Heisel

Technical Support and Analysis

Technology and Engineering

Client Services and Support

Leadership Team

Compliance and Risk Management

Teams at Raymond James Financial

Technical Support and Analysis

Technology and Engineering

Client Services and Support

Leadership Team

Compliance and Risk Management