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Job Snapshot
-
Employee Type:
Full-Time -
Location:
St. Petersburg, FL -
Experience:
Not Specified -
Date Posted:
9/23/2024
Job Description
Job Summary
Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to manage and oversee the registrations functions for Raymond James and its subsidiaries. Acts as a subject matter expert for registration issues and oversees a team and processes that provides new and existing associates assistance and support with their FINRA, SEC, CFTC, MSRB, CBOE, NMLS, and NFA registrations. This position executes major projects, programs, or processes with significant business impacts, and works with members of the PCG Compliance, Supervision, Legal, IT, and business leadership teams to develop tactical plans for registration initiatives. The position also completes complex assignments and helps design comprehensive solutions to complex problems or needs. Maintains ongoing contact with various business units and change stakeholders is essential to the performance of this job.
Essential Duties and Responsibilities
Job Requirements
Knowledge, Skills, and Abilities
Advanced knowledge of:
Registration rules and procedures in the financial services industry.
Concepts, practices, and procedures of the financial services industry.
FINRA, SEC, MSRB, CBOE, CFTC, NMLS, and NFA rules and requirements.
FINRA and SEC licensing and registrations functions.
Advanced skill in:
Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.
Organizational and time management skills sufficient to handle multiple priorities in a fast paced and ever-changing environment.
Project management skills and experience sufficient to successfully complete long and short-term projects.
Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Ability to:
Manage all levels of associates, including technical, professional, clerical, administrative, and supervisory associates.
Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others.
Have a proactive mindset in problem identification and resolution.
Work under pressure on multiple tasks concurrently, manage those delegated and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
Coordinate and balance multiple projects in a time-sensitive environment, under pressure, and meeting deadlines.
Partner with other functional areas to accomplish objectives.
Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives.
Identify performance problems and implementing remedial action evaluating performance and interviewing and selecting staff.
Work independently as well as collaboratively within a team environment.
Educational/Previous Experience Requirements
Education/Previous Experience
Bachelor%26rsquos Degree (B.A./B.S.) in a related discipline required with a Master%26rsquos degree preferred. Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.
Minimum five (5) years management experience within the financial services industry.
~or~
Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
None Required.
SIE, Series 7, 9/10 OR 24 licenses 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
