Job Description
Job Summary
Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision of a comprehensive compliance program for the Capital Markets division. This role requires significant industry expertise, regulatory acumen, and leadership skills to manage compliance functions, ensure adherence to federal, state, and self-regulatory requirements, and mitigate regulatory risks. As a key member of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic initiatives while managing a team of compliance professionals.
Essential Duties and Responsibilities
Serve as an integral member of the RJF Compliance Senior Leadership Team, shaping compliance strategy and direction.
Lead the development and implementation of a comprehensive compliance program for Capital Markets, encompassing Equity Investment Banking, Equity Research, Institutional Equity Sales & Trading, Affordable Housing Investments, Fixed Income Sales & Trading, and Public Finance Underwriting.
Manage and develop the Capital Markets Compliance team, providing leadership, mentorship, and strategic oversight.
Identify, assess, and mitigate regulatory risks associated with Capital Markets activities, ensuring adherence to SEC, FINRA, FRB Bank Holding Company, and state securities regulations.
Engage with senior business leaders, providing compliance guidance to support decision-making and operational risk management.
Maintain expertise in securities underwriting, private placements, syndicate matters, Reg M, and electronic trading risks across multiple asset classes.
Oversee the development and execution of compliance programs, policies, and procedures to align with evolving regulatory requirements and industry best practices.
Strategically recruit and develop compliance professionals to support business growth and adapt to changing regulatory landscapes.
Foster a culture of compliance by coaching and mentoring junior team members and implementing targeted training programs.
Conduct ongoing reviews of compliance controls, recommending enhancements to optimize efficiency while maintaining regulatory integrity.
Act as a subject matter expert on Capital Markets compliance, keeping abreast of regulatory updates and industry trends.
Continuously assess department structure and strategic priorities to align with business objectives, ensuring operational excellence.
Advanced Knowledge of:
Securities industry compliance practices, concepts, and procedures.
SEC, FINRA, FRB Bank Holding Company, and state regulatory frameworks.
Financial markets, investment products, and electronic trading risks.
Advanced Skill in:
Leadership and collaboration across senior business units.
Strategic planning, risk management, and regulatory analysis.
Compliance investigations and issue resolution.
Effective communication, both written and verbal, across diverse audiences.
Project management, process optimization, and policy development.
Ability to:
Prioritize and manage multiple complex compliance initiatives in a fast-paced environment.
Provide clear direction and strategic vision while fostering a positive compliance culture.
Identify process improvements to enhance operational efficiency and regulatory adherence.
Lead and mentor a high-performing team, promoting professional growth and development.
Interpret evolving regulatory requirements and implement compliance strategies accordingly.
Collaborate effectively with leadership, regulators, and internal stakeholders to drive compliance excellence.
Educational/Previous Experience Requirements
Bachelor's Degree (B.A./B.S.) in a related discipline required with a Master's degree preferred. Minimum of fifteen (15) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.
A minimum of ten (10) years of managerial experience with an emphasis on finance and operations, within an investment advisory or management firm.
Ten (10) years of compliance experience preferred.
~or~
Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.
Travel
A minimum of 4-6 times a year to and from NYC to St. Petersburg
Education
Bachelor's: Business Administration, Bachelor's: Economics, Bachelor's: Finance
Work Experience
Manager Experience - More than 15 years
Certifications
Certified Anti-Money Laundering Specialist (ACAMS) - Association of Certified Anti-Money Laundering Specialists (ACAMS)
Travel
Less than 25%
Workstyle
Resident
At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
We expect our associates at all levels to:
Grow professionally and inspire others to do the same
Work with and through others to achieve desired outcomes
Make prompt, pragmatic choices and act with the client in mind
Take ownership and hold themselves and others accountable for delivering results that matter
Contribute to the continuous evolution of the firm
At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
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