- Raymond James Financial, Inc. (New York, NY)
- …Clear communication of all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and complete any related ... and adverse trends are identified and escalated + Provide compliance support to business partners, as needed + Maintain...organized + Gain a thorough understanding and application of PCG policies and procedures + Shift focus from one… more
- Raymond James Financial, Inc. (Memphis, TN)
- **Essential Duties and Responsibilities** + Collaborate across Compliance teams to maintain a risk-based Compliance Testing program in accordance with testing ... requirements. + Conducts compliance tests by reviewing applicable regulations and firm policies,...resource and priority demands. + Establishes strong relationships with senior management. + Uses excellent communication skills to influence… more