Compliance Director, Capital Markets and Advisory
Raymond James & Associates, Inc., Research Division(2 months ago)
About this role
A senior compliance professional in the Capital Markets & Advisory Business Unit who provides expert oversight of the unit's compliance and oversight framework. The role leverages extensive securities industry knowledge to influence strategic direction, engage with regulators and industry groups, and lead major compliance initiatives.
Required Skills
- Compliance
- Regulatory Reporting
- Risk Assessment
- Project Management
- Policy Development
- Training
- Stakeholder Management
- Investigations
- Communication
- Monitoring
Qualifications
- Bachelor’s Degree (B.A./B.S.)
- Master’s Degree (Preferred)
- Industry Certifications (Preferred)
About Raymond James & Associates, Inc., Research Division
rjcapitalmarkets.comN/A
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