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Job Snapshot
-
Employee Type:
Full-Time -
Location:
St. Petersburg, FL -
Experience:
Not Specified -
Date Posted:
11/26/2024
Job Description
Job Summary
Under intermittent supervision with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training, and/or certification in financial services or banking industry compliance to administer and manage an assigned compliance function. Leads major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs.
Essential Duties and Responsibilities
Job Requirements
Knowledge, Skills, and Abilities
Advanced Knowledge of:
Fair lending-related regulations (i.e., HMDA, ECOA, FHA, CRA, UDAAP) with a minimum of three years of experience
Familiarity with Bank complaint processes and exceptional customer service skills
Concepts, practices, and procedures of banking compliance and knowledge of the securities industry a plus
Rules and regulations of: Federal Reserve System Consumer Financial Protection Bureau (CFPB) Federal Deposit Insurance Corporation (FDIC) Federal Financial Institutions Examination Council (FFIEC) Office of the Comptroller of the Currency (OCC) state banking regulatory agencies.
Investment concepts, practices, and procedures used in the banking and financial services industry.
Principles of banking and finance industry operations.
Regulatory exams, inquiries, and internal reviews.
Advanced skill in:
Performing fair lending comparative file reviews for underwriting and pricing.
Financial data analysis model development, model review, and validation.
HMDA data integrity file review experience.
Identifying loan origination systems controls and data is preferred.
Operating standard office equipment and using required software applications.
Planning and scheduling work to meet regulatory 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.
Strong verbal and written communication.
Ability to:
Coach and mentor others.
Partner with other functional areas to accomplish objectives.
Facilitate meetings, ensuring 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 with all organizational levels effectively, both orally and in writing.
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 compliance in assigned functional areas.
Interpret and apply policies and identify and recommend changes as appropriate.
Quantitatively and/or qualitatively process data.
Formulate and implement department strategies consistent with long-term company goals.
Promote team cohesiveness, cooperation, and effectiveness.
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
