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

Paul Reilly

Heather Wolfe Schaul

Kophi Niamien

Leslie Ambs

Lizzette Inchaustegui

Lindsay Wilhelm

Jimmy Edwards

Navin Ganga

Mark Thannisch

Bella Loykhter Allaire

Adam Theriault

Chelsea B.

Jason Heisel

The Technology and Engineering team at Raymond James Financial is responsible for developing and implementing innovative technological solutions that enhance compliance with securities and banking regulations. This team collaborates closely with various departments to analyze complex issues, streamline processes, and improve internal controls. By leveraging their expertise in software development, engineering, and IT management, they ensure the organization operates efficiently and effectively while meeting regulatory requirements.

Technology and Engineering

Technical Support and Analysis

Client Services and Support

Technology and Engineering

About

Team members

Other teams at Raymond James Financial

Technical Support and Analysis

Client Services and Support