Compliance Sr. Manager, Global Equities

Raymond James

Hybrid
Deep regulatory and compliance expertise
Experience in trading and advisory compliance
Strong knowledge of sec and finra rules
The candidate will provide independent advisory and control oversight of retail equities and options trading

Job Summary

  • The candidate will provide independent advisory and control oversight of retail equities and options trading.
  • They will partner with business units to strengthen policies, controls, and regulatory adherence.
  • The role involves leading complex initiatives and engaging with internal partners and regulatory bodies.

Matching Summary

The candidate will provide independent advisory and control oversight of retail equities and options trading.

Skills & Requirements

Must-have

  • Deep regulatory and compliance expertise
  • Experience in trading and advisory compliance
  • Strong knowledge of SEC and FINRA rules

Nice-to-have

  • Ability to drive process improvements
  • Strong project management skills
  • Coaching and mentoring others

Key Requirements

  • Bachelor’s Degree in a related discipline
  • Minimum of eight years of experience in financial services
  • Series 7, 55/57 and 4 certifications preferred

Work Rights

Not specified

Tailored Resume

Cover Letter