Patty Balezentis

Patty joined Raymond James in July 2018 as the Head of Governance and Reporting for PCG Supervision. As part of her role, she is responsible for the strategic design and implementation of certain program-level Supervision functions. Specifically, she is responsible for developing programs designed to identify areas for change or improvement within the control environment, and promoting transparency and accountability through the management of formal governance routines and ongoing reporting. Her role is heavily focused on internal and external exams coordination for Supervision; data analytics and reporting; implementation and execution of quality assurance routines; written supervisory procedures and controls governance; heightened supervision and conduct governance; and issues and risk management.

Prior to her time at Raymond James, she was employed by Citigroup for over 25 years where she held numerous positions across Compliance and Supervision functions. She holds a BS in Business from the City University of New York, and holds her FINRA series 7, 63, 65, 9, 10, 3 and 11 licenses.