Raymond James Financial
David Swan is a seasoned professional with extensive experience in the financial services sector, currently serving as a Process Analyst at Raymond James Financial since March 2023. Prior to this role, David held multiple positions at Raymond James Financial Inc. from April 2012 to September 2020, including Project Consultant and Business Analyst, where responsibilities included managing tax reporting data and various financial processes. David's career also includes over 25 years at Legg Mason, where roles spanned Teamsite Developer and Brokerage Operations Specialist, focusing on workflow automation and securities pricing. A strong educational foundation in finance was established at Towson University and Montgomery College.
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Raymond James Financial
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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.