The Risk Management and Compliance team at Raymond James Financial is responsible for identifying, assessing, and mitigating risks across the organization's operations and ensuring adherence to regulatory requirements. This team develops and implements robust compliance programs, conducts audits, and monitors internal controls to protect the firm from financial and reputational risks, thereby supporting its commitment to delivering trustworthy financial services to clients.
Carolynn Rosse
Svp, Chief Compliance Officer ...
Gala Wan
SVP, Risk Management
Nicole Kelly
Senior Manager, Compliance
Pavlos Marudas
Senior Internal Auditor
Rich Konefal
Chief Compliance Officer, Capi...
Rima Terradista
Chief Credit Risk Officer
Robert Banks
Lead Senior Compliance Examine...
Sean Friedly
Vice President, Risk & AML Ope...
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