Compliance Director, Investment Advisory Compliance
Raymond James & Associates, Inc., Research Division
About this role
This role involves managing and ensuring compliance with securities and investment advisory regulations within an asset management division. The job requires expertise in regulatory standards, strategic planning, and working with internal teams and regulators to maintain compliance and improve operational efficiency.
Skills
Qualifications
About Raymond James & Associates, Inc., Research Division
rjcapitalmarkets.comN/A
Recent company news
About Raymond James & Associates, Inc., Research Division
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Leadership Team
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
Unlock Company Insights
View leadership team, funding history,
and employee contacts for Raymond James & Associates, Inc., Research Division.
Salary
$12k – $16k
per year
More jobs at Raymond James & Associates, Inc., Research Division
Registered Client Relationship Associate
Raymond James & Associates, Inc., Research Division
Practice Marketing Associate- Part Time- 20 Hours Per Week
Raymond James & Associates, Inc., Research Division
Vice President, Head of Enterprise Management & Governance
Raymond James & Associates, Inc., Research Division
Senior Project Manager, Trading Technology
Raymond James & Associates, Inc., Research Division