Raymond James Financial
Raymond James Compliance Officer Position
Job Description
Advance your compliance career with Raymond James as a Compliance Officer, focusing on trade monitoring and departmental support. This role is crucial in maintaining regulatory standards and compliance protocols.
As a Compliance Officer, you will report to the Manager, Compliance and will take charge of approving trades, conducting account reviews, and supervising social media. Your collaboration with sales staff will address compliance issues directly, ensuring that all policies and procedures are followed. You'll also play a pivotal role in the help desk as a compliance resource for team members.
Key Responsibilities:
• Approve trades in restricted accounts and securities
• Handle compliance queries from various branches
• Serve as the main contact for new account processes
• Manage trade corrections and escalation reviews
• Provide oversight of email and social media compliance
Requirements:
• Relevant experience in compliance or securities
• Completion...
As a Compliance Officer, you will report to the Manager, Compliance and will take charge of approving trades, conducting account reviews, and supervising social media. Your collaboration with sales staff will address compliance issues directly, ensuring that all policies and procedures are followed. You'll also play a pivotal role in the help desk as a compliance resource for team members.
Key Responsibilities:
• Approve trades in restricted accounts and securities
• Handle compliance queries from various branches
• Serve as the main contact for new account processes
• Manage trade corrections and escalation reviews
• Provide oversight of email and social media compliance
Requirements:
• Relevant experience in compliance or securities
• Completion...