Senior Compliance Officer

• Sep 2023 - Present

Senior Vice President / AML Compliance Officer

• Apr 2023 - Jul 2023

Responsible for the development, implementation, administration and maintenance of all aspects of the firm’s anti-money laundering program Actively supervised and provided strategic direction, training and guidance to the anti-money laundering team Engaged in the development of AML sanctions and transaction monitoring systems to support future state needs Participated in enterprise-level, stakeholder discussions regarding new business lines and prospective customers to uncover, discuss and align business needs to the risk contours of the opportunities being considered Show less

Senior Compliance Officer

• Aug 2021 - Apr 2023

Maintained constant engagement, training and support of branch partner firms on a national scale Reviewed, cured, approved and monitored the use of all marketing materials and media appearances at the firm and partner firm levels to appropriate regulatory standards across all approved delivery channels Designed, administered, and implemented the firm’s annual branch examination program for the 2022 audit cycle Maintained constant engagement, training and support of branch partner firms on a national scale Reviewed, cured, approved and monitored the use of all marketing materials and media appearances at the firm and partner firm levels to appropriate regulatory standards across all approved delivery channels Designed, administered, and implemented the firm’s annual branch examination program for the 2022 audit cycle

Assistant Vice President, RIA Compliance Manager

• 2019 - 2021

Prepared and maintained the Investment Advisory Policy & Procedures Manual, Code of Ethics, and related forms and checklists, as warranted Conducted risk assessments, lead, and participated in the testing of compliance programs Evaluated affiliated Registered Representatives requesting registration as an Independent Registered Investment Advisor against firm policies and procedures and oversaw onboarding and ongoing monitoring Conducted oversight of Investment Advisory surveillance programs and participated in surveillance and oversight initiatives at the local and enterprise level Show less

Vice President, Anti-Money Laundering Officer / Compliance Officer

• 2017 - 2018

Managed all aspects of the firm’s anti-money laundering program to ensure compliance with the US PATRIOT Act, Sarbanes-Oxley SAS 70 audit, and the Gramm-Leach-Bliley Act (GLBA) Directed policy and procedural changes and process implementation, as warranted due to regulatory mandates Hosted and actively participated in various stakeholder committees involving Institutional Customer On-Boarding, Institutional Customer Credit Review, Controls Governance, Trading Best Execution, and Privacy Show less

Dispute Resolution Examiner

• 2015 - 2017

Responded to regulatory inquiries and client grievances directed to its two domestic broker-dealers, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Analyzed and administered complex compliance reviews, determined rule-based and analytical decisions, and provided timely written responses to address findings with relevant stakeholders Interacted with all levels of sales and compliance management, regulators, product sponsors, and customers and developed/prepared settlement offers for specific client matters Show less