Raymond James · 1 day ago
Compliance Director, Capital Markets and Advisory
St. Petersburg, FL
Full-time
Hybrid
Senior Level, Lead/Staff
10+ years expRaymond James is a financial services firm seeking a Director for Capital Markets & Advisory Compliance. This role provides strategic leadership and oversight for the CMA compliance program, ensuring alignment with enterprise objectives and regulatory requirements while managing compliance risks and enhancing compliance processes.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
Responsibilities
Partners with the VP, Capital Markets & Advisory (“CMA”) Compliance and BU Compliance Officers to design strategic vision for CMA’s compliance program in alignment with enterprise objectives
Designs and maintains CMA Compliance pillar activities to align with Central Compliance requirements. This includes – Training, Policy Management, Regulatory Change Management, Emerging Risk Management, Compliance Risk Assessment, Testing & Monitoring, Metrics & Reporting, Regulatory Inquiries & Exams, Associate Activities and Issues Management
Manages Capital Markets & Advisory (“CMA”) Compliance’s core compliance program to ensure compliance processes and procedures are integrated, along with supporting reporting and dashboards, to ensure all is aligned with RJF Central Compliance
Supports the CMA Business Unit (“BU”) Compliance teams to develop and maintain 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
Serves as the primary compliance leader for CMA Compliance, influencing Central Compliance strategy and risk posture
Accountable for compliance risk management decisions impacting CMA Compliance’s operations
Responsible for compliance program effectiveness, measured by audit results, regulatory findings, and risk mitigation outcomes
Maintains the required compliance processes for the division while fostering positive business relationships with department associates and business associates/affiliates
Functions as Project Manager for the CMA BU Compliance teams, determining scope and objectives, managing project schedule and ensuring process and providing updates
Optimizes work processes to ensure processes and procedures support efficient and timely workflows with a focus on continuous enhancement. Makes recommendations about solutions that would significantly improve processes
Reviews compliance controls and recommends appropriate changes, as required
Supports CMA Compliance management in preparing the CMA Compliance Risk Assessment
Collaborates with CMA BU Compliance teams in the development and implementation of continuing education and training programs for the department in conjunction with management. Maintains ad hoc training inventory and coordinates training with other compliance activities
Oversees BU Compliance Policy and Procedure, including technology implementation, ensuring required reviews are performed as outlined
Aggregates BU Compliance reporting updates and consolidates for the RJF CCO reporting
Oversees the disciplinary tracker to ensure BU Compliance follow-through and consistent disciplinary action for CMA associates aligns with firm-wide policy
Coordinates the Annual Compliance Questionnaire with BU Compliance, including design and execution on desired technology platform
Works with BU Compliance to compile CMA inputs for the annual 3120 Reporting
Works with BU Compliance to design and monitor CMA key risk indicators
Works with BU Compliance to ensure mandatory absence assessments are completed, and compliance requirements are met
Works with BU Compliance to ensure third-party supplier risk reviews are conducted
Effectively multi-task by anticipating and balancing the needs of multiple stakeholders
Directs administrative and logistical activities, maintaining high standards of quality and detail
Serves as subject matter expert in core compliance procedures and systems for CMA Compliance business unit teams
Serves as expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations
Continually evaluates department structure and strategic plan, considering future growth as needed. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service
Leads a team of compliance professionals, setting priorities, managing performance, and developing talent
Coaches, trains, and mentors other Compliance associates
Perform other duties and responsibilities as assigned
Qualification
Required
Bachelor's Degree (B.A./B.S.) in a related discipline required
Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry
Minimum five (5) years management experience within the financial services industry
Advanced Knowledge of concepts, practices, and procedures of securities industry compliance
Advanced Knowledge of laws and regulations governing financial services firms
Advanced Knowledge of rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies
Advanced Knowledge of institutional and clearing firm operations
Advanced Knowledge of financial markets and products
Advanced Knowledge of investment concepts, practices, and procedures used in the securities industry
Advanced Knowledge of compliance risk management concepts
Advanced Skill in planning and scheduling work to meet organizational and regulatory requirements
Advanced Skill in project management skills and experience sufficient to successfully complete long and short-term projects
Advanced Skill in prioritizing multiple, complex work efforts
Advanced Skill in investigating compliance issues and irregularities
Advanced Skill in decision-making, considering rules/regulations, risks, resources, and impacts to business and clients
Advanced Skill in identifying potential stakeholders, up to and including management level, analyzing their expectations and developing strategies for managing stakeholders and their expectations
Advanced Skill in leadership, associate and team development, and consensus building
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 for various audiences in a lucid and effective manner, keeping in mind the purpose of reports
Advanced Skill in operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases
Ability to work collaboratively, as well as independently, under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
Ability to apply strong attention 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)
Preferred
Master's degree 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 Executive Officer
James Sickling
COO - Fixed Income
Recent News
Private Banker International
2026-01-17
2026-01-16
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