Raymond James Ltd.
Senior Associate in Compliance Risk Management
Job Description
Join Raymond James Ltd. as a Senior Associate focused on Information Compliance Risk Management. Engage in compliance monitoring, risk assessments, and management reporting to drive success.
As part of the Compliance team, you will play a key role in assessing risks, executing control assessments, and ensuring compliance with relevant regulations. By collaborating with different teams, you will maintain regulatory obligations and help streamline compliance processes essential to the organization’s success. Your analytical skills will contribute to the continuous improvement of compliance activities.
Key Responsibilities:
• Conduct risk assessments and second-line oversight
• Develop quality assurance testing protocols for compliance
• Maintain regulatory obligations and mappings
• Prepare summary reports for stakeholders
• Support audit readiness and evidence collection
Requirements:
• Bachelor’s degree or equivalent experience
• 2-5 years in compliance, g...
As part of the Compliance team, you will play a key role in assessing risks, executing control assessments, and ensuring compliance with relevant regulations. By collaborating with different teams, you will maintain regulatory obligations and help streamline compliance processes essential to the organization’s success. Your analytical skills will contribute to the continuous improvement of compliance activities.
Key Responsibilities:
• Conduct risk assessments and second-line oversight
• Develop quality assurance testing protocols for compliance
• Maintain regulatory obligations and mappings
• Prepare summary reports for stakeholders
• Support audit readiness and evidence collection
Requirements:
• Bachelor’s degree or equivalent experience
• 2-5 years in compliance, g...