Job Description Summary

We are building a dynamic pipeline of compliance professionals to support current and future needs across our organization. This includes opportunities within Capital Markets, Banking, and Corporate Compliance functions. Ideal candidates will bring a strong understanding of regulatory frameworks, risk mitigation strategies, and operational compliance practices. Whether you're early in your career or a seasoned expert, we offer a collaborative environment where you can grow, contribute, and make a meaningful impact.

Compliance professionals in this pipeline will help ensure our business units operate within regulatory guidelines, support the development and execution of compliance programs, and contribute to a culture of integrity and accountability.

Job Description

Key Responsibilities

Depending on level and area of focus, responsibilities may include:

• Supporting or leading compliance program development, implementation, and oversight across various business units.

• Assisting in the alignment of compliance processes with central compliance standards and regulatory requirements

• Conducting compliance exams, testing, monitoring, and reporting, and surveillance activities.

• Participating in regulatory examinations and internal audits, including preparation and response coordination.

• Collaborating with internal stakeholders including AML, Compliance, Risk, and Legal to identify and resolve compliance issues.

• Contributing to the design and delivery of compliance training and continuing education programs.

• Supporting automation and process improvement initiatives to enhance compliance efficiency.

• Serving as a liaison for compliance-related committees, projects, and cross-functional initiatives.

• Advising business units on regulatory changes and risk mitigation strategies.

• Coaching and mentoring junior compliance staff (for mid-to-senior level roles).

Qualifications

Knowledge of:

• Regulatory frameworks including SEC, FINRA, OCC, FDIC, FRB, FFIEC; CFPB and other relevant agencies.

• Securities and/or banking industry operations and financial products.

• Risk management principles and compliance monitoring techniques.

Skills in:

• Analytical thinking, researching and problem-solving compliance issues.

• Effective communication—both written and verbal.

• Project management and prioritization.

• Microsoft Office Suite (Excel, PowerPoint, Word); familiarity with compliance systems/tools is a plus.

Ability to:

• Work independently and collaboratively in a fast-paced environment.

• Prioritizing tasks while adapting to changing regulatory landscapes and business needs.

• Establish and maintain effective working relationships at all organizational levels

• Maintain confidentiality and exercise sound judgment.

• Interpret and apply policies and recommend improvements.

Ideal Candidate Profiles

We are seeking candidates across the following levels:

• Entry-Level: Professionals with 1–3 years of experience in compliance, risk, audit, or related fields.

• Mid-Level: Professionals with 4–7 years of experience, capable of managing projects and mentoring junior staff.

• Senior-Level: Experts with 8+ years of experience, strategic thinkers who can lead programs and influence compliance culture.

Education & Experience

• Bachelor’s Degree required.

• Relevant experience in securities, banking, or financial services compliance.

• Equivalent combinations of education, training, and experience may be considered.

Licenses/Certifications

• None required, though certifications such as CRCM, CAMS, or FINRA Series licenses are preferred.

Location & Travel

• Roles are based in St. Petersburg, Florida (Must be local or have the ability to relocate prior to start date).

• Travel requirements vary by role and level.

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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