Job Description Summary

Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and manage compliance and risk-related training and education programs. Leads major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues.

Job Description

Essential Duties and Responsibilities

• Oversees compliance and risk-related training and education processes in collaboration with internal stakeholders.

• Coordinates annual training needs assessment processes with key stakeholders.

• May coach, train, and mentor others Compliance associates.

• May coordinate with stakeholders to develop and implement continuing education and training programs in conjunction with management.

• Schedules and oversees compliance processes including scheduling, training, and review of compliance reporting.

• Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements.

• Monitors reporting.

• Partners with business units to recommend policy and process changes to Senior Management.

• Ensures effective coordination occurs within assigned work group and with other work groups.

• Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.

• Serves as a resource on compliance issues to clients and staff.

• May serve as a compliance liaison on various committees and projects representing the interest of the department.

• Researches regulatory updates to identify linkages and trends and apply findings.

• Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.

• Performs periodic reporting on compliance and operational issues as required.

• Assists in preparing the operational budgets for assigned functional area.

• Balances conflicting resource and priority demands.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced knowledge of:

• Compliance and risk training for the securities industry and/or banking compliance.

• Concepts, practices, and procedures of securities industry and/or banking compliance.

• Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; state banking regulatory agencies.

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

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

Advanced skills in:

• Project management.

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.

• Preparing oral and/or written reports.

• Investigating compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Strong verbal and written communication.

• Operating standard office equipment and using required software applications.

Ability to:

• Coach and mentor others.

• Partner with other business units and functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.

• Attend to detail while maintaining a big picture orientation.

• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Use appropriate interpersonal styles and communicate effectively, orally and in writing, with all organizational levels.

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

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

• Maintain confidentiality.

• Maintain currency in laws, rules and regulations related to compliance in assigned functional area.

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

• Quantitatively and/or qualitatively process data.

• Formulate and implement department strategies consistent with long-term company goals.

• Promote team cohesiveness, cooperation, and effectiveness.

Educational/Previous Experience Requirements

• Bachelor’s degree (B.A. /B.S.) and a minimum of eight (8) 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.

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Education

Work Experience

Certifications

Salary Range

$100,000.00-$120,000.00

Travel

Less than 25%

Workstyle

Remote

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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