Job Description Summary

Prepare, execute and advise on regulatory and registration policy and issues and coordinate processes.


Under general supervision, uses specialized skills and knowledge gained through experience and training to support the Registrations department and its business partners. Collaborates with manager and team on regulatory matters to ensure representative, branch and firm remain in compliance with firm and industry regulations. Assists in identifying risk related to registration policies, processes, and procedures. Complete filings such as Outside Business Activities, Form U4 and U5 amendments, 4530, Form BD, Form MA, annual firm filings, certain jurisdiction requirements and other regulatory filings as needed. Responsible for reviewing and filing sensitive criminal history and background reports, garnishments, settlements, and disclosure letters. Research, draft and file formal responses to states and other regulatory agencies in relation to registration. Maintains regular contact with internal customers to identify, research, and resolve problems

Job Description

Job Summary

Under general supervision, uses specialized skills and knowledge gained through experience and training to support the Registrations department and its business partners. Collaborates with manager and team on regulatory matters to ensure representative, branch and firm remain in compliance with firm and industry regulations. Assists in identifying risk related to registration policies, processes, and procedures. Complete filings such as Outside Business Activities, Form U4 and U5 amendments, 4530, Form BD, Form MA, annual firm filings, certain jurisdiction requirements and other regulatory filings as needed. Responsible for reviewing and filing sensitive criminal history and background reports, garnishments, settlements, and disclosure letters. Research, draft and file formal responses to states and other regulatory agencies in relation to registration. Maintains regular contact with internal customers to identify, research, and resolve problems.

Essential Duties and Responsibilities

• Performs securities registration functions including form filings and SRO registration.

• Inputs and maintains Outside Business Activities of Registered Representatives.

• Assists with regulatory and jurisdiction registration inquiries.

• Review regulatory continuing education deadlines.

• Use thresholds to establish regulatory metrics and other improvement initiatives.

• Updates existing programs, policies and procedures, as directed.

• Provides support and guidance for registration efforts.

• Partners with other groups within Compliance to ensure delivery of a cohesive output.

• Assists management in implementing adequate controls and regulatory processes to provide early identification of potential compliance problems.

• Assists in researching registration issues.

• Reports registration program status and activities to management.

• Assists with internal and external examinations, including gathering requested information and researching historical filings.

• Collaborate on assigned projects and help drive initiatives to completion.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Key metric indicators and risk management concepts.

• Strong analytic and problem-solving skills.

• Ability to work in multiple computer systems and software applications.

• Concepts, principles, and practices of financial advisor registration.

• Rules and regulations of the Financial Industry Regulatory Authority and state securities regulatory agencies.

• Investment concepts, practices and procedures used in the securities industry.

• Principles of securities industry operations.

• Financial markets and products.

Skill in:

• Professional communication.

• Integrating and aligning compliance processes and procedures with business processes.

• Critical thinking.

• Problem solving, quantitative, and analytical abilities.

• Identifying and implementing controls and quality assurance processes.

• Reviewing materials for compliance with rules and regulations.

• Researching compliance issues.

• Gathering information and preparing oral and written reports.

• Investigating compliance irregularities.

• Providing support for compliance efforts.

• Excellent organizational and time management skills.

• Handling multiple telephone lines.

• Explaining complex registration issues to others.

• Operating standard office equipment and using required software applications.

Ability to:

• Lead the work of others and provide training in registration policies and procedures.

• Coach and mentor others.

• Attend to detail while maintaining a big picture orientation.

• Read, interpret, analyze, and apply information from regulatory agencies.

• Influence, motivate and persuade others to achieve desired outcomes without organizational authority.

• Interpret and apply policies and identify and recommend changes as appropriate.

• Work under pressure to manage multiple tasks with changing priorities to meet deadlines in a fast-paced environment with frequent interruptions.

• Communicate effectively, both orally and in writing.

• Work independently as well as collaboratively within a team environment.

• Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner.

• Maintain confidentiality.

• Establish and maintain effective working relationships at all levels of the organization.

• Increase knowledge of FINRA, state and other regulatory agency rules and regulations regarding financial advisor registration.

Educational/Previous Experience Requirements

• Bachelor’s degree (B.A. /B.S.) and zero (0) to two (2) years of experience in Compliance and/or the financial services industry preferred.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None Required.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

We expect our associates at all levels to:
• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

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