Job Description Summary

The Senior Manager will handle review and oversight for new international relationships entered into by the wealth management business. This requires an extensive familiarity with country rules specific to account opening, an understanding of the business of the firm and account types, and the ability to monitor and assess compliance with the institution’s related policies and procedures. The Senior Manager will also maintain responsibility for review of exception and monitoring reports, oversight and compliance with cross border policies, with an ability to assess and advice on addressing violations with respect to cross border gatekeeping activities.

The Senior Manager will interact day-to-day with financial advisors, branch management teams, and internal International/Cross Border Strategy team members, in order to handle escalations and resolution of more complex account opening and exception issues. The Senior Manager must demonstrate the ability to independently problem-solve and make risk decisions, while ensuring communication and consultation with key stakeholders. The Senior Manager will have the ability to think independently and critically about existing firm processes, and identify opportunities for process efficiencies. The Senior Manager will be expected to lead other team members by direct reporting or maintaining influence, for the purpose of implementing operational efficiencies and key projects, as well as driving resolution of issues.

This role will work in a dynamic team, and require building and maintaining strong relationships with all levels of the International/Cross Border Strategy team and PCG business, in order to develop pragmatic and effective solutions.

Job Description

Essential Duties and Responsibilities:

• Support review and oversight of account establishment and addition of services in international client accounts to monitor compliance to country guidelines.
• Support reviews and oversight of monitoring and exception reports with a view towards detection of compliance breaches of country guidelines, including account set-up and address change breaches.
• Handle escalations from financial advisors, branch management teams, and other team members.
• Ability to manage operational processes in an organized and efficient manner.
• Cultivate working relationships with home office and field/branch partners.
• Developed ability to understand and apply Firm policies as it relates to the conduct of International business activities.
• Engages with all levels of internal partners, including branch and regional/divisional management teams, as necessary to ensure appropriate assessment and handling of significant risk issues.
• Ability to track and update management on progress and gaps.
• Assists and supports International/Cross Border team on projects and program implementation wherever needed.

Knowledge, Skills, and Abilities:

• Superior analytical skills with ability to solve complex problems, analyze large amounts of information, and identify, assess and execute on solutions.
• Ability to balance supporting compliance in regulated environment with service-focused mindset.
• Superior communication and reasoning skills, both written and verbal, to effectively communicate with financial advisors, senior leadership, peers, and staff in a diverse and complex organization.
• High proficiency in MS Excel and Word.
• Ability to optimize work processes, multi-task, handle multiple projects with demonstrated follow-through.
• Strong drive to implement solutions, working with multiple parties throughout Raymond James.
• Conversant in Spanish and/or Portuguese preferred
• Ability to optimize work processes, multi-task, and handle multiple projects.
• Strong internal personal skills communication skills
• Extensive knowledge in cross border business accounts, entity structures and documentation requirements.

***The individual should have a minimum of 5-7 years of risk, compliance, or supervisory experience with a financial services firm, with experience in international or cross border business activities preferred.

***SIE not required***

Work Visa:

• Please note: This role is not eligible for immigration Work Visa sponsorship, either currently or in the future.

Education

Bachelor’s: Economics, Bachelor’s: Finance, Bachelor’s: International Business

Work Experience

General Experience – 10 to 15 years

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

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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