Senior Compliance Manager, Global Equities

Raymond James

Compliance Sr. Manager at Raymond James providing advisory oversight for equities trading compliance.

Posted 4/30/2026full-timeSaint Petersburg • Florida • 🇺🇸 United StatesSeniorWebsite

About the role

Key responsibilities & impact

Provides advisory compliance oversight for retail equities and options trading
Partners with business units to strengthen policies and regulatory adherence
Leads and coordinates compliance processes, audits, and reporting
Researches and interprets regulatory developments
Represents Compliance in cross-functional initiatives
Serves as a subject matter resource to stakeholders
Coaches, trains, and mentors other Compliance associates
Attends and delivers presentations at industry-related conferences

Requirements

What you’ll need

Bachelor’s Degree (B.A./B.S.) in a related discipline
Minimum of eight (8) years of experience in the financial services industry, compliance, or risk management
Strong knowledge of U.S. equity and options market structure
Experience in trading, advisory compliance, supervision, or regulatory oversight within a broker-dealer environment
Solid understanding of SEC and FINRA rules applicable to retail trading
Ability to assess trading-related risks and interpret complex regulatory requirements
Strong project management skills
Experience supporting regulatory exams, audits, and remediation efforts
Advanced skill in administering regulatory notifications and filings

Benefits

Comp & perks

Medical, dental, and vision insurance
Life insurance
Critical illness insurance
Accident insurance
Disability benefits
Retirement savings
Paid time off (including vacation, holidays, and sick leave)
Parental leave

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance oversightregulatory adherenceauditsregulatory developmentstrading-related risksSEC rulesFINRA rulesregulatory examsregulatory notificationsfilings

Soft Skills

coachingtrainingmentoringpresentation skillsproject management