Manager, Risk Management and Complex Issues – RCS
Raymond James & Associates, Inc., Research Division(1 month ago)
About this role
Manager-level role in the RIA & Custody Services (RCS) division focused on strengthening the division’s risk posture through improved frameworks, policies, and procedures for Registered Investment Advisors (RIAs) and Introducing Broker-Dealers (IBDs). The position involves leading a team, partnering with internal and external stakeholders, and ensuring regulatory alignment to support custody and clearing activities.
Required Skills
- Risk Management
- Due Diligence
- Team Leadership
- Regulatory Compliance
- Policy Development
- KRI Development
- Risk Surveillance
- Stakeholder Management
- Data Analysis
- Client Interaction
Qualifications
- Bachelor's Degree
- FINRA Series 7
- FINRA Series 63
- FINRA Series 66
- SIE (Securities Industry Essentials)
About Raymond James & Associates, Inc., Research Division
rjcapitalmarkets.comN/A
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