- Raymond James Financial, Inc. (New York, NY)
- …. Establishes and oversees the implementation of a risk management framework for the business unit, to include defining the business appetite for risk taking and ... establish appropriate controls. . Conducts and presents regular risk reviews in order to provide an independent perspective of the business and to keep pace with the changing business environment. . Builds trusted relationships with senior leadership,… more
- Raymond James Financial, Inc. (New York, NY)
- …As a core member of the Compliance team, you will serve as a subject matter expert on securities industry regulations and firm policies, ensuring adherence while ... enabling business growth. Responsibilities include, but may not be limited to: + **Advisory & Support:** Provide hands-on compliance guidance to Fixed Income Sales & Trading teams. Collaborate closely with front-office professionals to interpret regulations,… more