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Job Snapshot
-
Employee Type:
Full-Time -
Location:
St. Petersburg, FL -
Experience:
Not Specified -
Date Posted:
8/23/2024
Job Description
Job Summary
Under general supervision, uses specialized knowledge and skills obtained through experience and training to support the Registrations department and its business partners. Collaborates with manager and team on data collection, validation, analysis, and reporting of the firms registration metrics to drive key business decisions. Works closely with manager on developing and improving compliance monitoring by analyzing trends and identifying risk related to registration related policies, processes, and procedures. Performs monitoring of risk-based functions, identify gaps/opportunities for enhancements and report to business partners. Responsible for creating efficiencies in the current data collection, monitoring and reporting process. Maintains regular contact with internal customers to identify, research, and resolve problems. Serves as a technical advisor to the Registrations department for certain programs.
Essential Duties and Responsibilities
%26middot; Performs monitoring of registration activities in accordance with procedures and within tight deadlines.
%26middot; Completes monitoring template to document and track results and trends.
%26middot; Pulls, maintains, and deciphers data from internal and external systems within established guidelines for monitoring and control purposes.
%26middot; Assists in implementing adequate monitoring and control processes to provide early identification of potential compliance risks.
%26middot; Maintains firms registration related policies to ensure they conform to current processes, procedures, and regulation.
%26middot; Creates and produces relevant and appropriate reports on registrations metrics.
%26middot; Uses regulatory thresholds to establish monitoring and control mechanisms and other improvement initiatives.
%26middot; Updates existing programs, policies and procedures, as directed.
%26middot; Provides support and guidance for registration efforts.
%26middot; Partners with other groups within Compliance to ensure delivery of a cohesive product.
%26middot; Assists management in implementing adequate controls and monitoring processes to provide early identification of potential compliance problems.
%26middot; Assists in researching registration issues.
%26middot; Reports registration program status and activities to management.
%26middot; Assists with internal and external examinations, including gathering requested information and reports.
%26middot; Owns assigned projects and drives initiatives to completion.
%26middot; Performs other duties and responsibilities as assigned.
Job Requirements
Knowledge, Skills, and Abilities
Knowledge of:
%26middot MS Excel skills including pivot tables, VLOOKUP, formatting and charts.
%26middot PowerPoint skills.
%26middot Key metric indicators and risk management concepts.
%26middot Strong analytic and problem-solving skills.
%26middot Ability to work in multiple computer systems and software applications.
%26middot Concepts, practices and procedures of securities industry and/or banking compliance reviews.
%26middot Rules and regulations of the Securities Exchange Commission (SEC) Financial Industry Regulatory Authority (FINRA) and state securities regulatory agencies Municipal Securities Rulemaking Board (MSRB) National Futures Association (NFA) 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.
%26middot Fundamental investment concepts, practices and procedures used in the securities industry.
%26middot Principles of banking and finance and securities industry operations.
%26middot Financial markets and products.
Skill in:
%26middot Monitoring compliance programs.
%26middot Collecting data from multiple data systems.
%26middot Integrating and aligning compliance processes and procedures with business processes.
%26middot Critical thinking.
%26middot Problem solving, quantitative, and analytical abilities.
%26middot Identifying and implementing controls and quality assurance processes.
%26middot Reviewing materials for compliance with rules and regulations.
%26middot Researching compliance issues.
%26middot Gathering information and preparing oral and written reports.
%26middot Investigating compliance irregularities.
%26middot Providing support for compliance efforts.
%26middot Excellent organizational and time management skills.
%26middot Operating standard office equipment and using required software applications.
Ability to:
%26middot Research data issues and leverage data skills to troubleshoot.
%26middot Implement quality controls.
%26middot Attend to detail while maintaining a big picture orientation.
%26middot Gather information, identify gaps and recommend solutions.
%26middot Interpret and apply securities regulations and identify and recommend compliance changes as appropriate.
%26middot Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
%26middot Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.
%26middot Work independently as well as collaboratively within a team environment.
%26middot Provide a high level of customer service.
%26middot Establish and maintain effective working relationships at all levels of the organization.
%26middot Maintain confidentiality.
Educational/Previous Experience Requirements
Education/Previous Experience
Bachelor%26rsquos degree (B.A. /B.S.) and a zero (0) to two (2) 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%26rsquos knowledge/expertise in industry regulation and concepts 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
