VP, GWS Investment Products Compliance

Job Description

Job Summary

Under administrative supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry to lead the design, implementation, and oversight of a comprehensive compliance program for Global Wealth Solutions (“GWS”) Investment Products. Leads major projects, programs, or processes with significant business impact. Influences strategic direction and develops tactical plans for compliance initiatives. Maintains extensive contact with customers and regulatory agencies to identify, research, analyze and resolve complex issues. 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.

Essential Duties And Responsibilities

• Identifies and manages regulatory risks associated with specific division and/or department assigned.
• Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded.
• Leads and manages all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure).
• Evaluates the compliance risks, disclosures, and controls for new products and services and potential conflicts of interest.
• Develops and sponsors tactics to achieve strategic objectives across functional groups or within a business group.
• 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.
• Represents Compliance on major firm level projects and/or initiatives.
• Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff.
• Plans, assigns, monitors, reviews, evaluates, and leads the work of others.
• Coaches and mentors compliance associates, identifies training needs and recommends appropriate development programs.
• Develops systems and procedures to minimize the firm’s risk exposure while balancing business concerns.
• Maintains the required compliance systems for the firm while fostering a positive relationship with department employees and management.
• May serve as a liaison between the organization and industry committees such as SIFMA, SIA, FSI, and FINRA.
• Responds to and oversees responses to regulatory inquiries.
• Manages compliance exams of the firm by various regulatory bodies.
• Performs other duties and responsibilities as assigned.
  
  

Knowledge, Skills, And Abilities

Advanced knowledge of:

• Compliance and legal procedures in the financial services industry.
• Concepts, practices, and procedures of the financial services industry.
• Retail and clearing firm operations.
  
  

Advanced Skill In

• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.
• Organizational and time management skills sufficient to handle multiple priorities in a fast paced and ever-changing environment.
• Project management skills and experience sufficient to successfully complete long and short-term projects.
• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.
  
  

Ability To

• Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.
• Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others.
• 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.
• Partner with other functional areas to accomplish objectives.
• Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives.
• Work independently as well as collaboratively within a team environment.
  
  

Licenses/Certifications

• None Required.
• Appropriate series license(s) for assigned functional area preferred.
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
  
  

Education

Bachelor’s

Work Experience

General Experience – 10 to 15 years

Certifications

Salary Range

$175,000.00-$200000.00

Travel

Less than 25%

Workstyle

Remote

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.