Brock Miller is currently a Vice President within the Raymond James Financial Anti-Money Laundering (AML) & Financial Crimes Management (FCM) department. Brock is responsible for overseeing the US Broker Dealer AML & FCM Programs as well as enhancing and overseeing the enterprise Know Your Client (including client identification, client due diligence and enhanced due diligence) program.
Brock joined Raymond James Financial, Inc. in September 2015 with a mandate to develop and oversee the Higher Risk Securities Management program for Raymond James, which focused on implementing preventative risk-based policies and monitoring of penny stock transactions. Between 2016 and 2018, Brock also oversaw the firm’s enterprise fraud risk management program, including the fraud investigation teams. 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 is a Certified Public Accountant, Certified Anti-Money Laundering Specialist and Certified Fraud Examiner. Brock received his BBA in Accounting, with an additional focus in Finance from the University of Cincinnati.