Director, RJIM Compliance Monitoring
Raymond James Financial, Inc.
Kansas City, Jackson County$201,616 - $201,616 est.Full-timePosted 7h ago
Essential Duties and Responsibilities Supports the development, implementation, and oversight of compliance policies, procedures, and testing programs in accordance with Rules 38a-1 and 206(4)-7. Supports team of associates responsible for testing and monitoring. Supports portfolio compliance rule writing, rule testing and monitoring of Bloomberg AIM trading systems. Identifies risk and develops testing and monitoring activities to reduce or mitigate the identified risk. Familiar with port…
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