Job Description Summary

Under general direction, with a high level of autonomy, uses extensive knowledge and skills in industry regulations and Supervision obtained through education, experience, specialized training, and/or certification, related to the business, products, services, operations and regulation of the Fixed Income sales and trading industry. Reviews day-to-day trading activity and alerts for Fixed Income Sales. Dispositions and escalations with management as needed. May be responsible for coordinating Supervision functions, developing training programs and acting as liaison between functional areas. Contact with business personnel and industry colleagues is required to provide comprehensive solutions to complex problems or needs. Understands regulatory Supervision and able to complete supervisory reviews, which coordinate with Firm policy and regulatory requirements.

Job Description

Essential Duties and Responsibilities

• Serves as a member of the Supervision team in assisting to ensure proper goals and initiatives to achieve strategic supervision program for Fixed Income Sales.
• Collects and reviews internal and external market data to ensure compliance with Raymond James trading policies, FINRA requirements and SEC regulations.
• Performs surveillance reviews to identify trading, reporting and related exceptions, and uses industry experience to disposition or escalate accordingly.
• Identifies problems and recommends sensible solutions and remediation. Conducts follow-ups on corrections regarding areas of Supervision or any potential non-compliance in business areas.
• Monitors and keeps up to date with regulations regarding client trades and applies them accordingly.
• Oversees Supervision exception reporting processes and determines any corrective actions.
• Helps to ensure department has complete and accurate Written Supervisory Procedures per FINRA Rule 3110.
• Establishes objectives and develops processes and procedures to ensure adherence to all compliance requirements.
• Prepares supervisory reports and ensures they align with Firm policies, practices, and procedures.
• Develop strong relationships with Control partners across the organization including the FI Business Unit Risk Manager, Compliance, Legal, Operations and Risk Management departments.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Securities trading, Rules and regulations of the Securities Exchange Commission (SEC), and Financial Industry Regulatory Authority (FINRA)
• Detailed knowledge of securities supervisory concepts, FINRA Rule 3110 and how it relates to Firm policy and practice.
• Proficient in, and understands the regulatory responsibilities of FI Institutional Sales
• Company’s working structure, policies, mission, and strategies.

Skill in:

• High order reasoning and decision-making, involving the interpretation of regulatory rules and compliance policies.
• Understanding regulatory rules and regulations and applying to practical and active trading, reporting and processes.
• Managing multiple, different relationships effectively
• Analytical skill to interpret trends and changes in trading activity.

Ability to:

• Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.
• Independently manage multiple projects and tasks,
• Read, interpret, test and analyze data to understand transaction information is complete and within regulatory guidelines.
• Ensure effective coordination between assigned area and other functional areas.
• Ability to develop compelling analytical reporting and presentations.
• Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.
• Independently manage multiple projects and tasks, while balancing conflicting resources and priority demands.
• Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels

Education/Previous Experience

• Bachelor’s degree (B.A) in related discipline and ten (10) years of experience in Supervisory/regulatory functions in the financial services industry. Bachelor’s degree (B.A/B.S.) in a related discipline and minimum of eight (8) years of experience in Supervision and/or the financial services industry.
• Relevant regulatory experience, FINRA or SEC. ~or~

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

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied.
• FINRA Series 7, 24, and 9/10 licenses

Travel Required: Yes, 20 % of the Time

Education

Bachelor’s: Accounting (Required), Bachelor’s: Business Administration (Required)

Work Experience

General Experience - 6 to 10 years

Certifications

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

Travel

Workstyle

Resident

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.