Compliance Director, Investment Advisory Compliance

Raymond James

Hybrid
Investment advisory compliance expertise
Knowledge of sec regulations
Experience in compliance monitoring activities
The Compliance Director will lead major projects with significant business impact

Job Summary

  • The Compliance Director will lead major projects with significant business impact.
  • This role requires advanced knowledge of securities industry regulations and compliance practices.
  • The company values a people-first culture and promotes professional growth among its associates.

Matching Summary

The Compliance Director will lead major projects with significant business impact.

Skills & Requirements

Must-have

  • investment advisory compliance expertise
  • knowledge of SEC regulations
  • experience in compliance monitoring activities

Nice-to-have

  • strong verbal and written communication
  • ability to work under pressure
  • project management skills

Key Requirements

  • Bachelor's Degree in related discipline
  • minimum of ten years of compliance experience
  • five years management experience in financial services

Work Rights

Not specified

Tailored Resume

Cover Letter