Brock Miller

Senior Manager, Corporate Securities Review, Raymond James & Associates, Inc.

Brock Miller joined Raymond James Financial, Inc. in September 2015 and currently is responsible for enhancing and overseeing its enterprise Know Your Client program (including client identification, client due diligence and enhanced due diligence) and Higher-Risk Securities Management program.  Brock is a Certified Public Accountant, Certified Anti-Money Laundering Specialist and Certified Fraud examiner.  Prior to joining Raymond James in 2015, Brock spent many years with Ernst & Young assisting major financial institutions in designing and implementing their AML and Financial Crimes programs, with a focus on regulatory response.  Brock received his BBA in Accounting, with an additional focus in Finance from the University of Cincinnati.