Senior Compliance Lead: Regulatory Reporting & Ops

100 Raymond James & Associates, Inc.; Saint Petersburg (FL); On-site; USD 90,000 - 120,000; Full time

Benefits offered by this job

Medical, dental, vision

Life insurance

Disability benefits

Retirement savings

Paid time off

Parental leave

Job summary

Raymond James is seeking a seasoned Compliance professional in Saint Petersburg, FL to oversee programmatic adherence to securities and banking regulations. The role partners with Operations, Risk, Legal and Technology to implement controls and drive process improvements.

The ideal candidate has 3+ years in financial services compliance, extensive regulatory knowledge, and strong communication skills to report to senior management and respond to regulatory inquiries.

Qualifications

• Bachelor’s degree in Finance, Business or related field required.
• 3+ years of experience in Compliance or financial services preferred.
• Strong knowledge of SEC, FINRA, MSRB, OCC and Federal Reserve rules.
• Ability to translate regulatory requirements into practical controls.

Responsibilities

• Oversee compliance program for assigned business area and ensure processes align with business operations.
• Direct updates to programs, policies and procedures as needed.
• Provide guidance to compliance efforts and escalate issues to senior management.
• Collaborate with Operations, Risk, Legal, Technology and stakeholders to support initiatives and process improvements.
• Prepare and present written and oral reports to senior management.

Skills

Regulatory knowledge

Securities compliance

Cross-functional collaboration

Policy development

Risk assessment

Communication skills

Education

Bachelor’s degree in Finance/Business

Tools

Regulatory reporting systems

Job description

Raymond James is seeking a seasoned Compliance professional in Saint Petersburg, FL to oversee programmatic adherence to securities and banking regulations. The role partners with Operations, Risk, Legal and Technology to implement controls and drive process improvements.

The ideal candidate has 3+ years in financial services compliance, extensive regulatory knowledge, and strong communication skills to report to senior management and respond to regulatory inquiries.