Senior Compliance Strategist

Raymond James; Saint Petersburg (FL); Hybrid; USD 90,000 - 130,000; Full time

Benefits offered by this job

Benefits package

Job summary

Raymond James in Saint Petersburg, FL seeks a seasoned compliance professional to coordinate and lead regulatory activities within the securities and banking space. You will guide compliance efforts, liaise across departments, and drive large projects with significant impact while maintaining rigorous standards and documentation.

This role requires a Bachelor’s degree and 3+ years in compliance or financial services, with hybrid work arrangements and broad exposure to SEC/FINRA and banking

Qualifications

• Bachelor’s degree and minimum 3 years of experience in Compliance and/or financial services preferred.
• Hybrid work environment with collaboration across multiple departments.
• Knowledge of SEC/FINRA/federal banking regulations and related compliance concepts.

Responsibilities

• Executes processes for Associate Activities program including Outside Business Activities, Political Contributions, Gifts and Entertainment, Mandatory Absence, Outside Investment Account, and Corporate Charitable Contributions.
• Performs program components including exception processing, monitoring of 1st and 2nd line activities, data analytics, violation identification, metrics creation, reporting, and program governance.
• Establishes partnerships across Compliance, Supervision, Risk, Human Resources and other areas.
• Identifies and informs management about issues that involve possible violations and potential liability that may require escalation.
• Assists Management with the implementation of adequate controls and quality assurance processes to detect and address potential compliance problems.
• Oversees compliance program for an assigned conflicts program to ensure compliance processes and procedures are integrated and aligned with business processes.
• Participates in and directs adjustments to existing programs, policies, and procedures, related associate activities.
• Research associate conflict related issues.
• Responds to associate conflict system and process related inquiries.
• Monitors exception and other internal reports.
• Addresses sensitive compliance issues with Management.
• Participates in corporate policy discussions related to Associate Activities
• Prepares and delivers written and oral presentations to management.
• Performs other duties and responsibilities as assigned.

Skills

Compliance program oversight

Policy & procedures alignment

Data analytics & reporting

Training program development

Researching compliance issues

Effective communication

Education

Bachelor’s degree (B.A. / B.S.)

3+ years compliance/financial services

Tools

Microsoft Office

Job description

Raymond James in Saint Petersburg, FL seeks a seasoned compliance professional to coordinate and lead regulatory activities within the securities and banking space. You will guide compliance efforts, liaise across departments, and drive large projects with significant impact while maintaining rigorous standards and documentation.

This role requires a Bachelor’s degree and 3+ years in compliance or financial services, with hybrid work arrangements and broad exposure to SEC/FINRA and banking