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Job Snapshot
-
Employee Type:
Full-Time -
Location:
St. Petersburg, FL -
Experience:
Not Specified -
Date Posted:
8/20/2024
Job Description
Job Summary
Under general supervision, uses specialized knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry compliance to ensure compliance with all securities and/or banking rules and regulations. May be responsible for coordinating compliance functions, developing training programs and ability to liaison between functional areas. May lead projects of moderate scope and complexity. Serves as a Technical Advisor to teams. Some guidance is provided to perform varied work that is somewhat difficult in nature and that requires evaluation, originality, and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Maintains extensive contact with internal customers to identify, research, and resolve problems.
Essential Duties and Responsibilities
%26middot; Assists in overseeing compliance program(s) for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes.
%26middot; Adjusts existing programs, policies, and procedures, as directed.
%26middot; Coordinates the activities of compliance personnel to ensure that compliance activities do not interfere unduly with business operations.
%26middot; Provides support and guidance for compliance efforts in assigned business entity.
%26middot; Assists management in implementing adequate controls and quality assurance processes to provide early identification of potential compliance problems.
%26middot; Reviews advertising, disclosures, notices, compliance related regulatory reports and forms for compliance with rules and regulations.
%26middot; Assists in researching compliance issues.
%26middot; Assists in developing compliance training programs, including maintaining training records and coordinating training with other compliance activities.
%26middot; Reports compliance program status and activities to compliance management.
%26middot; Assists with external compliance examinations, including gathering requested information and reports.
%26middot; Prepares and delivers written and oral presentations to business units.
%26middot; Performs other duties and responsibilities as assigned.
Job Requirements
Knowledge, Skills, and Abilities
Knowledge of:
%26middot Concepts, practices, and procedures of the banking and financial services industries.
%26middot Concepts, practices and procedures of banking and financial services compliance.
%26middot Rules and regulations of the Federal Reserve Banking System (FRB) Consumer Financial Protection Bureau (CFPB) Federal Deposit Insurance Corporation (FDIC) Federal Financial Institutions Examination Council (FFIEC) Florida Office of Financial Regulation (OFR), and other state banking regulatory agencies.
%26middot Principles of banking and finance and securities industry operations.
%26middot Financial markets and products.
Skill in:
%26middot Monitoring compliance programs.
%26middot Integrating and aligning compliance processes and procedures with business processes.
%26middot Coordinating complex compliance activities.
%26middot Providing support and guidance for compliance efforts.
%26middot Identifying and implementing controls and quality assurance processes.
%26middot Reviewing materials for compliance with rules and regulations.
%26middot Researching compliance issues.
%26middot Developing compliance training programs.
%26middot Gathering information and preparing oral and written reports.
%26middot Preparing and delivers written and oral presentations.
%26middot Investigating compliance irregularities.
%26middot Making rule-based and analytical decisions.
%26middot Operating standard office equipment and using required software applications.
Ability to:
%26middot Attend to detail while maintaining a big picture orientation.
%26middot Gather information, identify linkages and trends, and apply findings to assignments.
%26middot Interpret and apply securities and/or banking 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.
%26middot Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.
Educational/Previous Experience Requirements
Education/Previous Experience
Bachelor%26rsquos degree (B.A. /B.S.) and a minimum of 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.
Appropriate series license(s) for assigned functional area preferred.
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
