• SVP, Capital Markets Chief Compliance Officer

    Raymond James Financial, Inc. (St. Petersburg, FL)


    Job Summary

    Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision of a comprehensive compliance program for the Capital Markets division. This role requires significant industry expertise, regulatory acumen, and leadership skills to manage compliance functions, ensure adherence to federal, state, and self-regulatory requirements, and mitigate regulatory risks. As a key member of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic initiatives while managing a team of compliance professionals.

    Essential Duties and Responsibilities

    + Serve as an integral member of the RJF Compliance Senior Leadership Team, shaping compliance strategy and direction.

    + Lead the development and implementation of a comprehensive compliance program for Capital Markets, encompassing Equity Investment Banking, Equity Research, Institutional Equity Sales & Trading, Affordable Housing Investments, Fixed Income Sales & Trading, and Public Finance Underwriting.

    + Manage and develop the Capital Markets Compliance team, providing leadership, mentorship, and strategic oversight.

    + Identify, assess, and mitigate regulatory risks associated with Capital Markets activities, ensuring adherence to SEC, FINRA, FRB Bank Holding Company, and state securities regulations.

    + Engage with senior business leaders, providing compliance guidance to support decision-making and operational risk management.

    + Maintain expertise in securities underwriting, private placements, syndicate matters, Reg M, and electronic trading risks across multiple asset classes.

    + Oversee the development and execution of compliance programs, policies, and procedures to align with evolving regulatory requirements and industry best practices.

    + Strategically recruit and develop compliance professionals to support business growth and adapt to changing regulatory landscapes.

    + Foster a culture of compliance by coaching and mentoring junior team members and implementing targeted training programs.

    + Conduct ongoing reviews of compliance controls, recommending enhancements to optimize efficiency while maintaining regulatory integrity.

    + Act as a subject matter expert on Capital Markets compliance, keeping abreast of regulatory updates and industry trends.

    + Continuously assess department structure and strategic priorities to align with business objectives, ensuring operational excellence.

    Advanced Knowledge of:

    + Securities industry compliance practices, concepts, and procedures.

    + SEC, FINRA, FRB Bank Holding Company, and state regulatory frameworks.

    + Financial markets, investment products, and electronic trading risks.

    Advanced Skill in:

    + Leadership and collaboration across senior business units.

    + Strategic planning, risk management, and regulatory analysis.

    + Compliance investigations and issue resolution.

    + Effective communication, both written and verbal, across diverse audiences.

    + Project management, process optimization, and policy development.

    Ability to:

    + Prioritize and manage multiple complex compliance initiatives in a fast-paced environment.

    + Provide clear direction and strategic vision while fostering a positive compliance culture.

    + Identify process improvements to enhance operational efficiency and regulatory adherence.

    + Lead and mentor a high-performing team, promoting professional growth and development.

    + Interpret evolving regulatory requirements and implement compliance strategies accordingly.

    + Collaborate effectively with leadership, regulators, and internal stakeholders to drive compliance excellence.

    Educational/Previous Experience Requirements

    + Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred. Minimum of fifteen (15) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.

    + A minimum of ten (10) years of managerial experience with an emphasis on finance and operations, within an investment advisory or management firm.

    + Ten (10) years of compliance experience preferred.

    ~or~

    + Any equivalent combination of experience, education, and/or training approved by Human Resources.

    Licenses/Certifications

    + Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

    Travel

    + A minimum of 4-6 times a year to and from NYC to St. Petersburg