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Job Snapshot
-
Employee Type:
Full-Time -
Location:
St. Petersburg, FL -
Experience:
Not Specified -
Date Posted:
10/23/2024
Job Description
Job Summary
Under administrative supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to manage and oversee the operation of all compliance functions covering the Financial Holding Company requirements that apply across Raymond James Financial, Inc. and requirements that apply to the Firms Enterprise Risk Management, Corporate Finance, Human Resources, Corporate Services, and Legal areas. Manages department, associates, and division of responsibilities within the Financial Holding Company (%26ldquo;FHC%26rdquo;) Compliance department. Leads major projects, programs or processes with significant business impact involving cross-functional teams. Works with members of the Compliance, Legal and business leadership teams to develop tactical plans for compliance initiatives. Completes complex assignments with substantial latitude for autonomous actions or decisions. Provides comprehensive solutions to complex problems or needs. End results are evaluated for achieving goals and objectives. Maintains extensive contact with various business units and departments of Raymond James Financial and its subsidiaries to perform the functions of this job.
Essential Duties and Responsibilities
%26middot; Manages department, associates, budget, reporting structure, and division of responsibilities within the FHC Compliance department.
%26middot; Manages FHC firm wide compliance programs, conducts activity and exception review, continuing education programs, as well as complaint review and response.
%26middot; Identifies and manages firm-wide regulatory risks associated FHC regulatory requirements.
%26middot; Develops, reviews, and adjusts the departments procedures to adapt to changing regulatory and business environments.
%26middot; Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded.
%26middot; Leads and manages all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure).
%26middot; Develops and sponsors tactics to achieve strategic objectives across functional groups or within a business group.
%26middot; Establishes objectives and develops processes and procedures to ensure efficient and timely work flow.
%26middot; Serves as a member of the leadership team in developing short and long term goals and initiatives to achieve strategic vision for the compliance department.
%26middot; Represents Compliance on major firm level projects and/or initiatives.
%26middot; Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff.
%26middot; Plans, assigns, monitors, reviews, evaluates and leads the work of subordinate supervisors.
%26middot; Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs.
%26middot; Develops systems and procedures to minimize the firms risk exposure while balancing business concerns.
%26middot; Maintains the required compliance systems for the firm while fostering a positive relationship with department employees and management.
%26middot; Responds to and oversees responses to regulatory inquiries.
%26middot; Manages compliance exams of the firm by various regulatory bodies.
%26middot; Performs other duties and responsibilities as assigned.
Job Requirements
Knowledge, Skills, and Abilities
Knowledge of
%26middot Concepts, practices, and procedures of securities industry compliance.
%26middot Federal Reserve Bank Regulations governing Financial Holding Companies and Bank Holding Companies (e.g., Regulation Y, Bank Holding Company Act, and other regulations)
%26middot Compliance and legal procedures in the financial services industry.
%26middot Concepts, practices and procedures of the financial services industry.
%26middot Retail and clearing firm operations
%26middot Financial markets and products.
%26middot Investment concepts, practices and procedures used in the securities industry.
Advanced Skill in
%26middot Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.
%26middot Organizational and time management skills sufficient to handle multiple priorities in a fast paced and ever-changing environment.
%26middot Project management skills and experience sufficient to successfully complete long and short-term projects.
%26middot Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.
%26middot Administering regulatory notifications and filings.
%26middot Planning and scheduling work to meet regulatory organizational and regulatory requirements.
%26middot Investigating compliances issues and irregularities.
%26middot Making rule-based and analytical decisions.
%26middot Identifying and applying appropriate compliance monitoring procedures and tests.
%26middot Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.
%26middot Preparing oral and/or written reports.
Ability to
%26middot Review, analyze and interpret applicability of existing, new and revised laws, rules, and regulations that apply to Financial Holding Companies and Bank Holding Companies and specific applicability to Raymond James Financial, Inc.
%26middot Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.
%26middot Plan, assign, monitor, review, evaluate and lead the work of others coach and mentor others.
%26middot 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.
%26middot Partner with other functional areas to accomplish objectives.
%26middot Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work 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.
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
