The Compliance and Risk Management team at Raymond James Financial ensures that the company adheres to regulatory requirements and mitigates financial risks. They oversee compliance programs, manage credit and market risks, and enforce anti-money laundering (AML) and sanctions policies. This team is composed of seasoned professionals such as Chief Compliance Officers, Risk Managers, and Registered Principals who collaborate to safeguard the firm's financial integrity and uphold regulatory standards.
Carl Lanza
Registered Principal
Carolynn Rosse
Svp, Chief Compliance Officer ...
David E. Taylor
Registered Principal
Gala Wan
SVP, Risk Management
Gary L. Zaugg
Registered Principal
George Catanese
Chief Risk Officer
Jamie Richardson
Registered Principal
Krista Leonard
Vice President, Deputy Chief C...
Lynn Phillips-Gaines
Registered Principal
Mike Dijak
Supervisory Principal
Nicole Kelly
Senior Manager, Compliance
Randy Carver
Registered Principal
Rich Konefal
Chief Compliance Officer, Capi...
Rima Terradista
Chief Credit Risk Officer
Scott Willis
Svp, Chief Sanctions Officer, ...
Sean Friedly
Vice President, Risk & AML Ope...
Shawn Barko
Senior Vice President, Chief C...
Steven B. Siskin
Registered Principal/branch Ma...
Tom King Cfp®
Registered Principal
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