Compliance

Mark de Ste Croix  is Head of Compliance and Legal. Mark is responsible for all compliance, legal and regulatory matters at Raymond James. His department supervises Branch Principals, ensuring they meet compliance, legal and regulatory requirements. In addition, Mark’s team provides dedicated assistance to Independent Contracting and Professional Partnership offices on day-to-day issues while helping them navigate and realise new projects and ventures.

At your Training and Orientation session, you will meet with a Compliance Officer who will give you an overview of Raymond James’ compliance resources and procedures, including the extensive guidance available to you on the Raymond James Portal™, in addition to outlining our Anti-Money Laundering procedures.

For Independent Contractors and Professional Partners, your dedicated Branch Supervision Manager is there to support you every step of the way, through your transition into Raymond James and beyond. They take time to understand your investment proposition and your goals, rather than assuming a ‘one size fits all’ approach.

In addition to conducting on-site audits of branches, monitoring trading activities, assisting with any customer complaints, and reviewing financial promotions, Compliance works to keep you educated and informed. At our annual Professional Development Forum, you’ll have the opportunity to attend workshops highlighting the latest regulatory news and updates.

It takes more than a gatekeeper to truly protect you and your business – it takes a partner. That’s why Mark and his team aim to work with you to define what you can do, instead of simply telling you what you can’t. They work to ensure that all applicable regulatory requirements and internal policies are followed, but also to ensure that your business is given every opportunity to succeed.

Email the Compliance team

Find out more about how Raymond James can support you in setting up and growing your business:

>> Support

>> Transition

>> Relationship Management

>> Training

>> Marketing

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