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Job Snapshot
-
Employee Type:
Full-Time -
Location:
St. Petersburg, FL -
Job Type:
-
Experience:
Not Specified -
Date Posted:
9/18/2024
Job Description
Job Summary:
Under limited direction and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in the securities industry to coordinate internal and external exams, audits, and tests on behalf of PCG Supervision. Partners with IT and Supervision Centers of Expertise to identify, review and assess data-related requests for internal and external exams. Maintains extensive contact with Supervision leadership, Compliance, Internal Audit and/or other internal partners to ensure data retrieved for production requests are accurate and produced timely. Seeks to analyze data requests to identify patterns or trends, and escalates those patterns, as appropriate. Vets responses, documentation, data etc. with key stakeholders prior to submission to internal or external examiners.
Essential Duties and Responsibilities:
Job Requirements
Knowledge, Skills, and Abilities:
Advanced Knowledge of:
Concepts, practices, and procedures of securities industry compliance.
Rules and regulations of the Securities Exchange Commission (SEC) Financial Industry Regulatory Authority (FINRA) and state securities regulatory agencies.
Proficiency in Microsoft Office products
Advanced knowledge of Excel is required. (Lookups, Pivot Tables, Formulas, Macros, etc.)
Investment concepts, practices and procedures used in the securities industry.
Principles of securities industry operations.
Financial markets and products.
Skill in:
Data analysis
Fluent in Microsoft Office applications- Excel (Lookups, Pivot Tables, Formulas, Macros, etc.)
Planning and scheduling work to meet organizational and regulatory requirements.
Preparing oral and/or written reports.
Investigating potential issues and irregularities.
Strong verbal and written communication.
Strong organizational skills
Operating standard office equipment and using required software applications.
Ability to:
Organize, self-manage and track multiple responsibilities with frequent changing priorities in a fast-paced work environment.
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.
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.
Demonstrates self-motivation and the ability to work independently as well as collaboratively within a team environment.
Establish and maintain effective working relationships at all levels of the organization.
Maintain confidentiality.
Maintain currency in laws, rules and regulations related to supervisory functions.
Interpret and apply procedures and identify and recommend changes as appropriate.
Promote team cohesiveness, cooperation, and effectiveness
Educational/Previous Experience Requirements:
Bachelor%26rsquos degree (B.A) in a related discipline and a minimum of three (3) years of experience with regulators in Compliance and/or the financial services industry.
~or~
An equivalent combination of experience, education, and/or training.
Licenses/Certifications:
Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
Series 7, 24, and 66 licenses 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
