VP, Compliance Equity Capital Markets
Raymond James & Associates, Inc., Research Division(1 month ago)
About this role
Senior compliance leader responsible for designing, implementing and supervising a comprehensive securities compliance program with a focus on Equity Research and Investment Banking. The role operates with high autonomy, leads major projects and teams, and serves as a primary liaison with regulators. The position influences strategic direction and ensures firm-wide adherence to applicable SEC, FINRA and state regulations.
Required Skills
- Equity Research
- Investment Banking
- Regulatory Compliance
- Reg M
- Conflict Checks
- Project Management
- Policy Development
- Risk Management
- Supervision
- Regulatory Filings
+2 more
Qualifications
- Bachelor's Degree (B.A./B.S.)
- Master's Degree Preferred
About Raymond James & Associates, Inc., Research Division
rjcapitalmarkets.comN/A
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