Director of Compliance Testing & Risk Management
Raymond James
Raymond James in New York seeks an experienced Compliance Testing Manager to oversee large, high-impact testing projects within Private Client Group. You will supervise testers, drive risk-based programs, and ensure controls align with SEC, FINRA, and SOX standards. The role requires a bachelor’s degree (master’s preferred), at least ten years in compliance/regulatory fields, and five years of managerial experience in financial services. Hybrid work, with travel up to 25%. #J-18808-Ljbffr Raymond James
Vacancy posted 3 days ago
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