Steve Wolters
Compliance Manager- Pcg Exams Team @Raymond James
Tampa, FL, US
EMAILS
s••••••••@raymondjames.com
MOBILE NUMBERS
+17•••••••16
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WORK HISTORY
Apr 2019 — Present
Compliance Manager- Pcg Exams Team @Raymond James
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I lead a group of eight branch examiners who are tasked with annual compliance examinations of all Private Client Group branch offices (RJFS, RJA, and Alex Brown). I am responsible for ongoing quality review of their work (~800 examinations annually), coaching trips, escalation of findings to regional management, as well as exam process improvements. As staffing needs fluctuate, I work to recruit candidates, conduct interviews, and on-board talent for our 45+ member team. I currently…
SKILLS
Mutual FundsLife InsuranceRetirement Plan Rollover and ConsolidationsEquity Unit TrustsTaxable and Tax-Free IncomeRetirement Income StrategiesPortfolio ManagementBond LadderingData AnalysisLeadershipInvestmentsFinanceMarketingPortfolio StrategiesEquities
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