- Raymond James Financial, Inc. (CO)
- …solutions to escalated problems or needs. **Essential Duties and Responsibilities** * Performs RJ Bank fair lending compliance reviews and analyzes the fair ... specialized training, and/or certification in financial services or banking industry compliance to administer and manage an assigned compliance function.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …work closely with advisors, all while adhering to strict regulatory and compliance fiduciary standards. Leads large and/or multiple projects with significant scope ... analyze and resolve complex issues. **Essential Duties and Responsibilities** **Strategy, Compliance and Risk Management** + Create and implement an attractive trust… more
- Raymond James Financial, Inc. (New York, NY)
- …Control partners across the organization including the GE Business Unit Risk Manager , Compliance , Legal, Operations and Risk Management departments. + Performs ... testing of the systems used in trading, to ensure compliance with regulation in Market Access Rule 15c3-5, and...concepts, FINRA Rule 3110 and how it relates to RJ policy and practice. + Proficient in, SEC Market… more