Senior Regulatory Reporting & Compliance Advisor (Hybrid)

Raymond James, Inc.; Florida; Hybride; USD 110 000 - 160 000; Plein temps

Avantages offerts par ce poste

Medical insurance

Dental insurance

Vision insurance

Life insurance

Disability benefits

Retirement savings

Paid time off

Parental leave

Résumé du poste

Raymond James, Inc. in Saint Petersburg, FL seeks a Sr. Advisor in Regulatory Reporting and Operations Compliance to oversee the firm’s compliance program, coordinate across divisions, and lead large projects with significant scope.

The role requires deep knowledge of SEC, FINRA, MSRB, OCC, and Federal Reserve rules, strong analytical skills, and the ability to provide guidance and training. Hybrid work arrangement and cross-functional collaboration are emphasized.

Qualifications

• Bachelor’s degree in a related field and at least three years of Compliance or financial services.
• Experience with securities and banking regulations (SEC, FINRA, MSRB, OCC, Fed).
• Strong analytical, written and oral communication skills; ability to manage complex projects.

Responsabilités

• Oversees the compliance program for the assigned business area and ensures integration with business processes.
• Directs adjustments to programs, policies, and procedures as required.
• Ensures compliance activities align with risk levels and provides escalated support and guidance.
• Partners with Operations, Risk, Legal, Technology, and stakeholders to support initiatives and process improvements.
• Prepares and delivers written and oral presentations to senior management.

Connaissances

Compliance oversight

Regulatory knowledge

Stakeholder collaboration

Policy interpretation

Risk assessment

Presentations

Research and analysis

Formation

Bachelor’s degree

Description du poste

Raymond James, Inc. in Saint Petersburg, FL seeks a Sr. Advisor in Regulatory Reporting and Operations Compliance to oversee the firm’s compliance program, coordinate across divisions, and lead large projects with significant scope.

The role requires deep knowledge of SEC, FINRA, MSRB, OCC, and Federal Reserve rules, strong analytical skills, and the ability to provide guidance and training. Hybrid work arrangement and cross-functional collaboration are emphasized.