VP, Compliance Equity Capital Markets
Raymond James
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.
Skills
Qualifications
About Raymond James
rjcapitalmarkets.comN/A
Recent company news
About Raymond James
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
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Salary
$175k – $250k
per year
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