Compliance Sr. Manager, Global Equities

Raymond James

Remote
Remote
Retail equities and options trading oversight
Sec and finra rules interpretation
Trading-related risk assessment
Raymond James is seeking a Compliance Sr. Manager for their Global Equities team, focusing on regulatory and compliance oversight of retail equities and options trading. The role involves working closely with various stakeholders to enhance compliance practices and manage risks, all within a remote work environment

Job Summary

  • Provide independent advisory and control oversight of retail equities and options trading within Global Wealth Solutions.
  • Partner with business, risk, and compliance stakeholders to evaluate trading practices and assess controls effectiveness.
  • Lead complex, high-impact initiatives and engage with internal partners and regulatory bodies for governance and risk mitigation.

Matching Summary

Match Score: 85

Raymond James is seeking a Compliance Sr. Manager for their Global Equities team, focusing on regulatory and compliance oversight of retail equities and options trading. The role involves working closely with various stakeholders to enhance compliance practices and manage risks, all within a remote work environment.

Skills & Requirements

Must-have

  • Retail equities and options trading oversight
  • SEC and FINRA rules interpretation
  • Trading-related risk assessment
  • Cross-functional initiative leadership
  • Regulatory inquiries and exams support

Nice-to-have

  • Process improvement and automation
  • Subject matter expertise
  • Coaching and mentoring others
  • Industry conference presentations

Key Requirements

  • Minimum of eight (8) years of experience
  • Bachelor’s Degree in a related discipline
  • Series 7, 55/57 and 4 strongly preferred

Work Rights

Not specified

Tailored Resume

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