Under intermittent supervision, uses knowledge and skills obtained through education, experience, specialized training and/or certification in securities and/or banking industry to ensure compliance with all securities and/or banking rules and regulations. Coordinates compliance functions, guides compliance efforts, and acts as a liaison between functional areas. Assists with large projects with significant scope and impact. Works independently on difficult assignments that are broad in nature and require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Develops recommendations for departmental and business processes and procedures to improve internal controls and mitigation strategies. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.

Banking

Raymond James Financial

Raymond James Financial's headquarters in Sarasota, FL, United States

Paul Reilly

Lizzette Inchaustegui

Description

People (15)

Cindy Kube

Kerry Mullin

Deborah Bradley

Janeese Norrix

Nickole Pappas

Alexandria Karaolis

Bella Loykhter Allaire

Melissa Remigio

Jennifer Jones

Jonathan J. Doyle

Jill Goodman

Tom Cannaday

Juanita Pinckney

Les Ruiz

Kophi Niamien

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