Senior Compliance Advisor, Securities & Banking Controls

Raymond James & Associates; Saint Petersburg (FL); On-site; USD 90,000 - 135,000; Full time

Job summary

Raymond James & Associates in Saint Petersburg, FL is seeking a seasoned Compliance professional to oversee associate activities programs including Outside Business Activities, political contributions, gifts and entertainment, and related compliance controls.

The role requires coordinating across Compliance, Supervision, Risk and HR, identifying potential violations, escalating issues, and delivering training and clear written/oral communications to management.

Qualifications

• Knowledge of concepts, practices and procedures of securities and/or banking compliance.
• Knowledge of rules and regulations of the SEC, FINRA, FDIC, OCC, FFIEC, OTS, Fed and state regulators.
• Ability to lead and integrate compliance programs with business processes.

Responsibilities

• Executes processes for Associate Activities program (Outside Business Activities, Political Contributions, Gifts and Entertainment, Mandatory Absence, Outside Investment Account, Corporate Charitable Contributions).
• Performs analytics, monitoring, reporting, and governance for compliance components.
• Establishes partnerships across Compliance, Supervision, Risk, HR and other areas.
• Identifies and informs management about potential violations and liability requiring escalation.
• Assists with implementation of controls and quality assurance to address compliance problems.
• Oversees compliance program for the assigned conflicts program and aligns processes with business.
• Directs adjustments to policies and procedures related to associate activities.
• Researches associate conflict issues and responds to inquiries.
• Monitors reports and responds to internal inquiries.
• Addresses sensitive issues with management and participates in policy discussions.
• Prepares and delivers written and oral presentations to management.

Skills

Compliance program oversight

Regulatory knowledge

Stakeholder coordination

Policy development

Training program development

Data analysis

Presentation skills

Issue investigation

Tools

MS Office

Job description

Raymond James & Associates in Saint Petersburg, FL is seeking a seasoned Compliance professional to oversee associate activities programs including Outside Business Activities, political contributions, gifts and entertainment, and related compliance controls.

The role requires coordinating across Compliance, Supervision, Risk and HR, identifying potential violations, escalating issues, and delivering training and clear written/oral communications to management.