Aydee Adames-Polanco
VP, Central Compliance at Raymond James
- Role
- Vice President, Central Compliance at Raymond James
- Location
- Tampa, FL, US
- LinkedIn followers
- 500 followers
Experience
Vice President, Central Compliance
Sep 2019 — Present · Tampa/St. Petersburg, FL, US
As the Vice President for Central Compliance at Raymond James, I lead critical processes to ensure regulatory adherence and risk management. My responsibilities include:• Compliance and AML Testing: Evaluate the design and effectiveness of AML, Fraud, and Compliance controls, ensuring adherence to stated policies and procedures.• Compliance Monitoring: Designed a continuous monitoring program to enhance oversight of compliance risks.• Compliance Risk Assessment: Oversee the independent assessment of compliance risks for both domestic and foreign subsidiaries within the firm.• Regulatory Change Management Process: Track and manage the firm’s regulatory inventory. Oversee the regulatory change management process.• Quality Assurance: Conduct independent evaluations of Compliance Assurance processes and procedures.• Assurance Reporting: Prepare accurate and timely reports for stakeholders.• Branch Exam Team: Perform required branch exams over Capital Markets branches.
Education
St. Francis College
Bachelor of Science
2001 — 2005
University of South Florida Muma College of Business
Executive MBA
2022 — 2024
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