Raymond James · 1 day ago
Compliance Manager – RJIM Communication Review
St Petersburg, Florida - United States
Full-time
Hybrid
Senior Level
6+ years expRaymond James is a leading financial services firm, and they are seeking a Compliance Manager to ensure that the firm's policies and procedures are up-to-date with industry regulations. The role involves reviewing communications, mentoring compliance specialists, and providing guidance to management on compliance issues.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
Responsibilities
Conducts review of communications, through the use of various reports and systems
Monitors and keeps up to date with regulations regarding communications and applies them accordingly
Coaches, trains, and mentors less experienced Compliance Specialists
May serve as a “team lead” for more junior compliance associates including potentially assisting in the talent selection process. Reviews the policies, procedures, and test findings produced by other compliance associates
Directs adjustments to existing programs, policies, and procedures, as required
Ensures that compliance activities are commensurate with the level of risk being mitigated
Provides escalated support and guidance to compliance efforts in assigned business entity
Informs Senior Compliance Management about issues that may involve rule violations or potential liability
Assists management to implement adequate controls and quality assurance processes to detect and address potential compliance problems
Research compliance issues
Develops and maintains compliance policies and procedures
May make risk-based recommendations to Senior Management using extensive industry knowledge to review products, production, and asset value changes across the firm’s business lines
Prepares and delivers written and oral presentations to management
Performs other duties and responsibilities as assigned
Qualification
Required
Bachelor's degree (B.A. /B.S.) and a minimum of six (6) years of experience in Compliance and/or the financial services industry preferred
SIE required provided that an exemption or grandfathering cannot be applied
Required to have a Series 7, 24, and 63
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 Executive Officer
James Sickling
COO - Fixed Income
Recent News
Private Banker International
2026-01-17
2026-01-16
Company data provided by crunchbase