Brandon Cooke Email & Phone Number

St. Petersburg, Florida, Us

With an emphasis on information protection and data privacy, Brandon works with enterprise business, technology, legal, and compliance partners to reduce risk, understand regulatory change, and ensure compliance across various Raymond James business units and global entities. This includes identifying, inventorying, and safeguarding sensitive data, control assessments, gap analysis, computer-security incident reviews, supplier risk management, and data loss prevention. Through cross-functional understanding and partnership, IT and data privacy-related risks are identified, understood, and reduced.Received the Robert A James Award of Service Excellence - Nov. 2022

St. Petersburg, Florida, Us

Private Client Group, Sales SupervisionBrandon hired, trained and managed three teams of associates who performed principal reviews of electronic and hard copy correspondence for Raymond James’ Independent Contractors Division and Financial Institutions Division. He was responsible for developing and maintaining written supervisory procedures, escalation routing, exception processes, and remedial recommendations. He oversaw high-risk investigations and served as a resource to the greater Supervision organization. He was regularly sought out for his cross-functional understanding of the various risk groups and their interdependent processes and functions.Received the Robert A James Award of Service Excellence - Feb. 2019

St. Petersburg, Florida, Us

Raymond James Financial Services, Financial Institutions Division (RJFS, FID)Lead reviewer of electronic communications and physical branch manager correspondence for bank investment programs. He was a go to resource for training new associates, vetting processes and testing controls. His internal knowledge and relationships served to connect associates with the resources necessary to be successful within the various risk and supervisory groups of RJFS.

St. Petersburg, Florida, Us

Raymond James Financial Services, Independent Contractor Division (RJFS, ICD)Northeast Division of the Independent Contractors Division. Primarily responsible for performing heightened review and the annual credit review for advisors. Additionally, handled escalations from all areas of the firm. He analyzed these escalations to gauge risk to clients, risk to advisors, and risk to the firm. Worked to bring Sales Supervision, Sales Management, and Legal up to speed and if nessecary, propose remedial action. Provided education, tested the progress, and provided ongoing support to branch managers and financial advisors to ensure that any identified areas of risk were resolved. Presented this information and proposals to the President of RJFS on a quarterly basis.

St. Petersburg, Florida, Us

Serviced broker dealer investment programs located within banks and credit unions. His role involved working with branches that may need extra attention or education, newly onboarded programs, programs with complex business arrangements and other heightened matters. He briefed the compliance officer, the supervision officer and business managers with regard to respective escalations in their regions. Served as a peer mentor and trainer for other associates throughout the firm.

St. Petersburg, Florida, Us

Brandon conducted annual branch examinations for RJFS West, Mid-West, and Mid-Atlantic regions. He educated branch managers, financial advisors, and their support staff regarding best practices in risk mitigation, regulatory adherence, practice management, tech changes and reviewed account activity as it relates to industry regulations and firm policies.

St. Petersburg, Florida, Us

Served as the agent between branches and the home office. Reviewed, updated, and serviced client accounts. Monitored reports related to account issues, doucmented and maintained accurate records, and notified financial advisors on actions concerning client accounts.

Brandon served high risk clients in the early and late stages of delinquency, negotiated payment arrangements, performed account level research, and helped clients understand their accounts and responsibilities.

St. Petersburg, Florida, Us

Allocated merit based funding for 93 student run organizations.

Business Administration (B.A.)

Master Of Business Administration - Mba

Graduate Certificate, Computer And Information Systems Security/Information Assurance