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Job Snapshot
-
Employee Type:
Full-Time -
Location:
St. Petersburg, FL -
Experience:
Not Specified -
Date Posted:
10/4/2024
Job Description
Job Summary
Under intermittent supervision, uses knowledge and skills obtained through education and experience to ensure compliance of investment advisory business practices with Advisers Act, state laws, and other applicable rules and regulations. Primary focus will be the design and implementation of portfolio management monitoring of separately managed accounts and ongoing maintenance of the IA Code of Ethics. Performs other large or multiple initiatives that have significant scope and impact which support the firms compliance monitoring of fee-based advice in accordance with the Investment Advisers Act of 1940. Works independently and with team on difficult assignments that can be broad in nature to provide comprehensive solutions to complex problems along with routine oversight functions.
Essential Duties and Responsibilities
Job Requirements
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
Overseeing 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.
Researching compliance issues.
Developing compliance training programs.
Gathering information and preparing oral and written reports.
Preparing and delivers written and oral presentations.
Investigating compliance irregularities.
Making rule-based and analytical decisions.
Operating standard office equipment and using required software applications.
Ability to
Provide training, coaching, and mentoring for others.
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
Education/Previous Experience
Bachelor%26rsquos Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) 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
