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 assigned compliance functions and key initiatives within PCG & Asset Management Compliance (PAC). As part of the Strategy, Governance & Reporting team, the position focuses on issues management, regulatory change management, exam coordination, books and records management, and the identification and mitigation of emerging risks. The Strategy, Governance & Reporting team is responsible for prioritizing and executing enterprise-wide compliance initiatives; standardizing processes and procedures; developing scalable solutions and technology platforms; and delivering strategic reporting to senior leadership across all PAC verticals. This role is responsible for resolving or recommending solutions to complex issues, leading defined projects of moderate scope, and driving workstream execution. This position involves significant collaboration with internal stakeholders to identify, research, and resolve issues, while proactively escalating highly complex or sensitive matters to leadership as appropriate. Additional responsibilities may be assigned as needed.

Job Description

Essential Duties and Responsibilities

• Partners with PCG & Asset Management Compliance stakeholders in strategic compliance initiatives related to issues, regulatory changes, or emerging risks.

• Manages and tracks issues and action plans owned by PCG & Asset Management Compliance from identification to completion to ensure transparency, accountability, and resolution.

• Interfaces with associates of varying levels of seniority to document and manage issues, regulatory changes, books and records, exam coordination, and emerging risks.

• Coordinates with Internal Audit, Compliance Testing, Regulatory Exams and Inquiries Management Compliance and Risk Management for issues and action plans identified outside of PCG & Asset Management Compliance.

• Assists in coordinating with PCG & Asset Management teams to ensure accurate, complete, and timely status updates are received for issues, regulatory changes, and emerging risks.

• Prepares and delivers written and oral presentations to management as needed.

• Participates in projects/initiatives as needed.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

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

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or 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; and state banking regulatory agencies.

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

• Principles of banking and finance and securities industry operations.

• Financial markets and products. 

Skill in: 

• Integrating and aligning compliance processes and procedures with business processes.

• Coordinating complex compliance activities.

• Providing support and guidance for compliance efforts. 

• Identifying and implementing controls and quality assurance processes. 

• Reviewing materials for compliance with rules and regulations.

• Researching compliance issues.

• Developing compliance training programs.

• Gathering information and preparing oral and written reports.

• Preparing and delivering written and oral presentations. 

• Investigating relevant irregularities.

• Making rule-based and analytical decisions.

• Operating standard office equipment and using required software applications.

• Creating detailed desk procedures that standardize workflows, enhance process transparency, and support effective execution of controls and regulatory requirements.

• Working knowledge of Smartsheet, preferred

Ability to:

• Provide a high level of customer service.

• Partner with other 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.

• Gather information, identify linkages and trends, and apply findings to assignments.

• Interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate.

• 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, both orally and writing, with all organizational levels.

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

• Provide a high level of customer service.

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

• Maintain confidentiality.

• Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.

Educational/Previous Experience Requirements

• Bachelor’s degree (B.A. /B.S.)  and a minimum of six (6) 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.

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

 

 

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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