Senior Compliance Advisor - Associate Activities

Raymond James, Inc.; Florida; Hybrid; USD 85,000 - 125,000; Full time

Benefits offered by this job

Medical, dental, and vision insurance

Life insurance

Disability benefits

Retirement savings plan

Paid time off including vacation,holid

Sick leave

Job summary

Raymond James, Inc. is seeking a Senior Advisor, Compliance - Associate Activities in Saint Petersburg, FL.

The role focuses on coordinating compliance activities across the enterprise, leading large projects, and delivering comprehensive solutions to complex regulatory challenges. The ideal candidate has a strong background in securities/banking compliance, data analytics, and ability to train and guide teams while maintaining high standards of confidentiality and accuracy.

Qualifications

• Bachelor’s degree and a minimum of three years of experience in Compliance and/or financial services preferred.
• Knowledge of SEC, FINRA, FDIC, OCC, FFIEC, and state banking regulations.
• Ability to develop and deliver compliance training and reports.

Responsibilities

• Executes processes for Associate Activities program including Outside Business Activities, Gifts and Entertainment, Outside Investment Account and Corporate Charitable Contributions.
• Performs analytics, exception processing, monitoring, reporting and governance for program components.
• Establishes partnerships across Compliance, Risk, HR and other areas.
• Identifies issues, informs management about potential violations, and escalates when needed.
• Prepares and delivers written and oral presentations to management and stakeholders.

Skills

Compliance oversight

Policy development

Regulatory knowledge

Stakeholder collaboration

Data analytics

Presentation skills

Education

Bachelor's degree

Job description

Raymond James, Inc. is seeking a Senior Advisor, Compliance - Associate Activities in Saint Petersburg, FL.

The role focuses on coordinating compliance activities across the enterprise, leading large projects, and delivering comprehensive solutions to complex regulatory challenges. The ideal candidate has a strong background in securities/banking compliance, data analytics, and ability to train and guide teams while maintaining high standards of confidentiality and accuracy.