Manager, RJLU Compliance

Reporting to the Chief Compliance Officer (CCO) of Raymond James (USA) Ltd. (RJLU), the Manager is responsible for compliance oversight under FINRA, SEC, and various U.S. state securities authorities. The role includes managing RJLU’s compliance program, supporting U.S. retail and institutional compliance, advising financial advisors and ECM teams, leading a small team, and maintaining compliance policies and procedures.

Key Responsibilities

• Navigate FINRA rules, the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940.
• Enhance and optimize the retail and ECM Branch Inspections program and implement sweeps.
• Assist with Rule 15a‑6 of the SEA related to sales into the U.S. and chaperoning of foreign analysts and bankers.
• Respond to regulatory requests for information and participate in FINRA, SEC examinations and internal audits.
• Mana...