Raymond James Ltd.
Manager, RJLU Compliance
Job Description
Manager, RJLU Compliance
Reporting to the Chief Compliance Officer (CCO) of Raymond James (USA) Ltd. (RJLU), the Manager is responsible for all aspects of compliance oversight under FINRA, SEC, and U.S. state securities authorities. The Manager collaborates with the CCO to manage RJLU’s compliance program to meet regulatory obligations.
The Manager will support U.S. retail and institutional compliance, work closely with compliance and legal teams, provide regulatory guidance to financial advisors and ECM teams, lead a small compliance team, and maintain and draft policies and procedures.
Responsibilities
- Navigate laws and regulations such as FINRA rules, the Securities Exchange Act of 1934 (SEA), and the Investment Advisers Act of 1940.
- Enhance and optimize the retail and ECM Branch Inspections program through collaboration with Canadian and US affiliates and implementation of sweeps.
- Assist with Rule 15a-6 of the SEA,...