Compliance Manager, Control Room

Raymond James

Hybrid
Experience in financial services compliance
Knowledge of sec and finra regulations
Ability to oversee compliance programs
Raymond James is seeking a Compliance Manager for its Control Room, responsible for ensuring compliance with securities regulations while supporting Capital Markets operations. The role involves monitoring, reporting, and problem-solving in a collaborative environment, with a focus on integrity and professional development

Job Summary

  • The Compliance Manager will support the Capital Markets Control Room department and its business partners.
  • This role involves leading projects with significant scope and impact while ensuring compliance with regulations.
  • Raymond James offers a hybrid workstyle and a comprehensive benefits package for its employees.

Matching Summary

Match Score: 85

Raymond James is seeking a Compliance Manager for its Control Room, responsible for ensuring compliance with securities regulations while supporting Capital Markets operations. The role involves monitoring, reporting, and problem-solving in a collaborative environment, with a focus on integrity and professional development.

Skills & Requirements

Must-have

  • Experience in financial services compliance
  • Knowledge of SEC and FINRA regulations
  • Ability to oversee compliance programs

Nice-to-have

  • Strong analytical and decision-making skills
  • Excellent communication skills
  • Ability to work independently and collaboratively

Key Requirements

  • Bachelor’s Degree in related discipline
  • Minimum of six years of experience in compliance
  • No specific licenses or certifications required

Work Rights

Not specified

Tailored Resume

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