Senior Compliance Monitoring & Surveillance Officer

Raymond James Financial is seeking a Compliance Officer in the UK responsible for executing a risk-based Compliance Monitoring Plan. The ideal candidate will have experience in Compliance Monitoring with equities and fixed income, ensuring adherence to regulations.

The role involves reporting on compliance findings and engaging with senior stakeholders to foster a strong compliance culture. Candidates should have strong analytical skills and a proven ability to communicate complex regulatory information effectively.

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