Carolyn WarnerChief Compliance Officer

Carolyn Warner serves as a Chief Compliance Officer at Compliance Exchange Group (CXG), bringing more than a decade of experience in financial services compliance, regulatory oversight, and supervisory leadership.

Prior to joining CXG, Ms. Warner held numerous compliance and supervision roles at Raymond James Financial Services. Most recently, in Raymond James’ Financial Institutions Division, she led a team of seven (7) Supervisory Principals overseeing large investment programs with more than $20 billion in assets under management (AUM). Throughout her career, Ms. Warner has developed extensive expertise in regulatory compliance and risk management and brings a collaborative approach to building and maintaining effective compliance programs.

Ms. Warner earned her bachelor’s degree in finance from the University of Florida’s Warrington College of Business Administration, where she was named to the Dean’s List. She holds FINRA Series 7, 24, and 66 licenses.