Emily Gilliam
Senior Compliance Advisor - Raymond James Trust
- Role
- Senior Compliance Advisor - Raymond James Trust, N a at Raymond James
- Location
- Tampa, FL, US
- LinkedIn followers
- 500 followers
About Emily Gilliam
Senior Compliance Advisor at Raymond James Trust, N.A. who plays a critical role in…
Experience
Senior Compliance Advisor - Raymond James Trust, N a
Jul 2023 — Present · St Petersburg, FL, US
Oversees elements of the RJ Trust compliance program(s) to ensure processes and procedures are aligned with regulatory compliance requirements- Perform risk-based compliance testing and monitoring- Ensures that compliance activities are commensurate with the level of risk being mitigated- Provides escalated support and guidance to compliance efforts in assigned business entity/area- Participates in review of policies, procedures, test findings, and action plans produced for completeness and accuracy- Reviews marketing materials, disclosures, notices, compliance related regulatory reports, and forms for compliance with rules and regulations- Researches, interprets and translates regulatory rules and regulations - Reviews documentation related to compliance issues for validity and alignment with organizational policies- Coordinates responses to regulatory agency inquiries- Prepares and delivers written and oral presentations
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