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Job Snapshot
-
Employee Type:
Full-Time -
Location:
St. Petersburg, FL -
Job Type:
-
Experience:
Not Specified -
Date Posted:
8/23/2024
Job Description
Job Summary
You will be responsible for ensuring compliance with anti-bribery and anti-corruption laws, regulations, and standards in the financial services industry. This will involve coordinating compliance functions, guiding compliance efforts, and liaising between different functional areas. Proficiency in PowerPoint, Excel, Microsoft Office products, and similar applications is required to develop, analyze, prepare, and revise reports and other materials relevant to the Anti-Bribery and Anti-Corruption Program. You will be working independently on broad and challenging assignments that require originality and ingenuity, providing comprehensive solutions to complex problems.
Essential Duties and Responsibilities
- Conduct due diligence to identify bribery and corruption risks on vendors, prospective employees, charitable contributions, and third-party relationships,
- Assist in the development of compliance training.
- Assist in performing risk assessments.
- Assist in the development of policies, standards, and procedures to help manage and mitigate anti-bribery and anti-corruption risk.
- Prepare and enhance reporting for senior management and other audiences on anti-bribery and anti-corruption matters.
- Respond to Anti-Bribery and Anti-Corruption policy and process-related inquiries.
- Research Anti-Bribery and Anti-Corruption related issues.
- Support a culture of risk management and compliance throughout all levels within the firm.
- Performs other duties and responsibilities as assigned.
Job Requirements
Knowledge, Skills, and Abilities
Knowledge of:
- Concepts, practices, and procedures of the 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:
- Monitoring compliance programs.
- 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.
- Research compliance issues.
- Developing compliance training programs.
- Gathering information and preparing oral and written reports.
- Prepared and delivered written and oral presentations.
- Investigating compliance irregularities.
- Making rule-based and analytical decisions.
- Operating standard office equipment and using required software applications.
Ability to:
- 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 concurrently under pressure on multiple tasks and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
- Use appropriate interpersonal styles and effectively communicate with all organizational levels, both orally and in writing.
- 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.
Education/Previous Experience
- Bachelor%26rsquos degree (B.A. /B.S.) and zero (0) to two (2) years of experience in Compliance and/or the financial services industry.
~or~
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
- None Required.
- Additional licenses/certifications demonstrating the candidate%26rsquos knowledge/expertise in industry regulation and concepts is preferred.
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
