Job Description Summary

Raymond James is hiring a Senior Associate to review and analyze potential rule violations and ensure adherence to securities industry regulations, thereby limiting firm liability.

Conduct internal reviews to ensure compliance with regulatory requirements and internal policies, including potential conflicts of interest. Assess and report on compliance risks, investigate incidents and take action to ensure compliance.

Must have knowledge of government laws and regulations affecting the company's business area, and ability to interpret laws and regulations in light of operations. Ensures all external regulatory frameworks are complied with within reasonable risk and cost parameters.

Job Description

Our ideal contributor will:

• Serve as a trusted business partner to our Financial Advisor teams by providing expertise with financial services related supervision and compliance issues.

• Have confidence in making recommendations based on research and analysis.

• Maintain frequent contact and establish positive relationships with our field offices, via phone and email, through reactive and proactive measures.

• Act as the go-to supervision partner for technical issues and all supervision related questions and concerns from the PCG branches and home office business units as well as internal support departments.

Essential Duties and Responsibilities:

• Liaise with employees and certain broker-dealers to ensure completion of policy driven requirements related to FINRA Rule 3210 including account certifications, disclosure, and ongoing receipt of transactions.

• Interfaces with specific business platform management associates to inform them of any supervisory concerns that may arise with branch or home office associates and work together with them to address these concerns as well as to resolve any conflicts.

• Monitors and keeps up to date with applicable securities/advisory regulations.

• Interprets, applies and recommends changes to organizational policies and procedures.

• Performs other duties and responsibilities as assigned.

Knowledge of:

• Investments and trading, securities industry regulations, and conflicts of interest. Familiarity/facility with RJ and its systems is preferable.

• Company’s working structure, policies, mission, and strategies.

• General office practices, procedures, and methods.

• Conflicts of Interest and other compliance issues involved with branch manager/FA trading activity.

Skill in:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.

• Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.

• Detail orientation to ensure the regulatory liability is limited, without impairing workflow.

• Utilizing business-appropriate phone manners.

Ability to:

• Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers/FAs.

• Establish and communicate clear directions and priorities.

• Provide a high level of customer service.

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A) in a related discipline in retail securities sales, sales management, operations, or compliance.

~or~

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

Licenses/Certifications:

• SIE preferred, provided that an exemption or grandfathering cannot be applied.

• Series 7, 66, 24 Required within 18 or a maximum of 24 months of hire, or an agreed upon timeframe with management

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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