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    Jason McCarthy

    Monroe, North Carolina

    Vice President, Governance Management

    Raymond James

    Specialties

    Auditing & Compliance

    Banking, Loans & Insurance

    Investments

    Risk & Quantitative Analysis

    Where I've Worked

    Jan 2019 – Present

    Vice President, Governance Management

    Raymond James
    L

    Sep 2005 – Oct 2009

    Director/Anti-Money Laundering Compliance Officer

    LPL Financial/UVEST Financial Services
    H

    Dec 1999 – Sep 2005

    Senior Compliance Analyst

    Harrisdirect
    E

    Mar 1998 – Dec 1999

    Senior Customer Service

    Equitable Life Assurance Society
    P

    Jun 1996 – Mar 1998

    Investment Officer

    Pamrapo Savings Bank
    L

    2015 – 2019

    Vice President/Compliance

    Legal & Risk
    R

    2017 – 2019

    Vice President/Compliance, Legal & Risk

    Registration & Licensing Compliance
    Where I've Studied

    In Progress

    Finance

    Saint Peters University

    MARKETING

    Saint Peters College

    Ask Me About

    People I've Reported To

    People I've Worked With

    People Who've Reported to Me

    Ask Me for a Referral

    Raymond James
    Los Angeles, CA and 8 other location(s)
    Application Developer
    5 - 7 years of experience
    Systems Administrator (Windows / Linux)
    Less than 5 years of experience
    Sr. Manager, Technology - Actimize Sales Practices and Suitability
    5 - 7 years of experience
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