Job Summary:
Under administrative direction, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance or supervision to lead a team of geographically-dispersed branch examiners and integrate risk-based strategies into programs and processes. Leads projects with significant scope and impact. Provides comprehensive solutions to complex problems. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Maintains extensive contact with internal customers and compliance partners to identify, research, analyze, and resolve complex issues. Travel required: with examiners to assess examiner performance and, on a limited basis, to conduct branch exams. **
Essential Duties and Responsibilities:**
- Monitors and reviews branch exams conducted by the PCG Branch Exam team.
- Performs management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, and participating in interviewing and selecting staff.
- Coaches and mentors subordinates, identifies training needs, and recommends appropriate development programs.
- Works in partnership with key parties within Divisional Management, Supervision, and other areas within compliance to address escalation items.
- Interprets and applies organizational policies and procedures.
- Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements.
- Performs periodic reporting on compliance and operational issues as required.
- Ensures effective coordination within assigned work group and with other work groups.
- Identifies, recommends and works with other areas of the firm to automate and streamline functions that improve operational efficiencies of compliance systems.
- Balances conflicting resource and priority demands.
- Performs other duties and responsibilities as assigned.
Qualifications:
**Knowledge, Skills, and Abilities:
Advanced Knowledge of:**
- Concepts, practices and procedures of securities industry compliance.
- Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.
- Investment concepts, practices and procedures used in the securities industry.
- Financial markets and products.
Advanced Skill in:
Planning and scheduling work to meet regulatory organizational and regulatory requirements.
Identifying and applying appropriate compliance monitoring procedures and tests.
Preparing oral and written reports.
Investigating compliances issues and irregularities.
Making rule-based and analytical decisions.
Operating standard office equipment and using required software applications.
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.
Investigating relevant irregularities.
Making rule-based and analytical decisions.
Operating standard office equipment and using required software applications. **
Ability to:**
- Supervise, coach and mentor others. Partner with other functional areas to accomplish objectives.
- Attention to detail while maintaining a big picture orientation.
- Gather information, identify linkages and trends, and apply findings to assignments.
- 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.
- Maintain confidentiality.
- Work independently as well as collaboratively within a team environment.
Establish and maintain effective working relationships at all levels of the organization.
- Maintain currency in laws, rules and regulations related to compliance in assigned functional area.
Educational/Previous Experience Requirements:
- Bachelor’s Degree (B.A.) in a related discipline and a minimum of six (6) years of experience in the financial services industry. Branch Audit/Examination experience is preferred
OR
- Any equivalent combination of experience, education and/or training as approved by Human Resources.
Licenses/Certifications:
- Series 7 and 24 or 9/10 required
- Additional appropriate Series license(s) for assigned function area to be obtained within six (6) months of hire.
- Position requires high amount of travel within continental United States.
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
At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. **
Job :**
Compliance **
Primary Location :**
United States **
Organization :**
RJF Corporate **
Schedule :**
Full-time **
Shift :**
Day Job **
Travel :**
Yes, 20 % of the Time **
Salary Range: CO, NY, CA, WA (based on Education, Work Experience, and Geographic Location)**
80,000 -95,000
