Raymond James · 1 day ago
VP, Compliance Equity Capital Markets
New York, NY
Full-time
Hybrid
Senior Level, Lead/Staff
$175K/yr - $250K/yr
12+ years expRaymond James is a financial services firm, and they are seeking a VP of Compliance for their Equity Capital Markets division. The role involves leading the design and implementation of a compliance program focused on Equity Research and Investment Banking, while managing regulatory risks and mentoring subordinates.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
Responsibilities
Provide Equity Capital Markets (ECM), Equity Research and Investment Banking advisory and monitoring functions
Identify and manage regulatory risks associated with ECM, Investment Banking and Research
Interact with members of ECM/IB/Sales/Research for advice related to IPO/Follow-On Equity offerings (e.g. Reg M, deal marketing, SPACs)
Daily engagement with Senior Managing Directors and Managing Directors from the business
Assist with Conflict of Interest checks
Have extensive knowledge of varying forms of equity underwritings including private placements, syndicate matters, and Reg M
Develops and maintains compliance programs, systems, policies and procedures to ensure compliance with federal, state and self-regulatory regulations. Minimizes the firm’s risk exposure while balancing business concerns
Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs
Maintains the required compliance systems for the firm while fostering positive business relationships with department associates and branch associates/affiliates
Serves as the primary liaison between the organization and industry regulators by responding to inquiries, audits, complaints and investigations
Reviews compliance and risk management controls and recommends appropriate changes, as required
Coordinates the preparation and submission of regulatory filings and maintains required compliance documents
Serves as a subject matter expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations
May oversee compliance exception reporting processes and take appropriate action, as required
Draft and update written supervisory procedure manuals required by the SEC
Continually evaluates the department structure and strategic plan, considering future growth. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service
Ensures processes and procedures support efficient and timely workflow
Performs other duties and responsibilities as assigned
Qualification
Required
Bachelor's Degree (B.A./B.S.) in a related discipline required with a Master's degree preferred
Minimum of twelve (12) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry
Minimum ten (10) years management experience within the financial services industry
Extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance
Advanced Knowledge of concepts, practices and procedures of securities industry compliance
Advanced Knowledge of rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies, specifically FINRA 2241 and SEA – Section 5, SEC Rules 138/139, Reg M
Advanced Knowledge of financial markets and products
Advanced Knowledge of investment concepts, practices and procedures used in the securities industry
Advanced Skill in administering regulatory notifications and filings
Advanced Skill in planning and scheduling work to meet regulatory organizational and regulatory requirements
Advanced Skill in investigating compliance issues and irregularities
Advanced Skill in making rule-based and analytical decisions
Advanced Skill in identifying and applying appropriate compliance monitoring procedures and tests
Advanced Skill in written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally
Advanced Skill in preparing oral and/or written reports
Advanced Skill in project management skills and experience sufficient to successfully complete long and short term projects
Ability to work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
Ability to attend to detail while maintaining a big picture orientation
Ability to use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives
Ability to establish and communicate clear directions and priorities
Ability to gather information, identify linkages and trends and apply findings to operations
Ability to maintain currency in laws, rules and regulations related to compliance in assigned functional area(s)
Ability to plan, assign, monitor, review, evaluate and lead the work of others; coach and mentor others
Ability to manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates
Ability to work independently as well as collaboratively within a team environment to resolve problems
Preferred
Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred
Company
Raymond James
Raymond James provides a range of investment banking services focused on the telecommunications and communications sectors.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$1.5B2025-09-09Post Ipo Debt· $1.5B
1983-07-01IPO
Leadership Team
Paul Shoukry
Chief Financial Officer
James Sickling
COO - Fixed Income
Recent News
TradingView
2025-12-16
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