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Job Snapshot
-
Employee Type:
Full-Time -
Location:
St. Petersburg, FL -
Experience:
Not Specified -
Date Posted:
12/5/2024
Job Description
Job Summary
Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry to support the firms compliance monitoring program. Delivers comprehensive Compliance monitoring and testing program reports to Compliance Management and external stakeholders. Supports the oversight and governance for the compliance monitoring program, including overseeing complex reviews and large or multiple projects with significant scope and impact. Works collaboratively on challenging assignments that are broad in nature requiring originality and ingenuity. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.
Essential Duties and Responsibilities
Job Requirements
Knowledge, Skills, and Abilities
Knowledge of
The compliance risk management processes.
Applicable U.S. broker-dealer and registered investment advisor regulatory requirements and controls.
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.
Section 404 of the Sarbanes-Oxley Act of 2002.
Retail and clearing firm operations.
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:
Administering regulatory notifications and filings.
Planning and scheduling work to meet regulatory and organizational and regulatory requirements.
Identifying and applying appropriate compliance monitoring procedures and tests.
Preparing oral and/or written reports.
Investigating compliance issues and irregularities.
Making rule-based and analytical decisions.
Operating standard office equipment and using required software applications.
Ability to:
Partner with other functional areas to accomplish objectives.
Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
Attention to detail while maintaining a big picture orientation.
Gather information, identify linkages and trends, and apply findings to assignments.
Interpret and apply internal policies and 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 current knowledge of securities and/or banking industry rules and regulations and best practices in compliance.
Quantitatively and/or qualitatively process data.
Educational/Previous Experience Requirements
Education/Previous Experience
Bachelor%26rsquos Degree (B.A./B.S.) in a related discipline and a minimum of three (3) 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
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
