Senior Securities Compliance Advisor

Raymond James; Saint Petersburg (FL); Hybrid; USD 75,000 - 90,000; Full time

Job summary

Raymond James in Saint Petersburg, FL is seeking an experienced Compliance professional to design, implement and supervise a comprehensive compliance program focused on Equity Research and Investment Banking. You will advise a broad range of stakeholders, conduct risk assessments, and coordinate monitoring, testing, and regulatory submissions.

A Bachelor’s degree and at least three years in financial services compliance are required; hybrid work is offered with a competitive salary of $75,000 to

Qualifications

• Bachelor’s Degree and a minimum of three (3) years of experience in financial services, compliance, or risk management.
• Equivalent combinations allowed as approved by HR.

Responsibilities

• Contributes to development and maintenance of compliance programs, policies, and procedures.
• Designs and executes risk-based monitoring and testing across policies.
• Provides written and oral advice to stakeholders applying subject matter expertise.
• Involvement in risk reviews, audits, examinations and regulatory change processes.
• Fosters relationships with stakeholders across the firm.
• Prepares reports, presentations, and regulatory submissions.
• Provides training to coverage areas as required.

Skills

Securities compliance knowledge

Regulatory knowledge (SEC, FINRA)

Risk assessment & management

Written & verbal communication

Project management

Training and coaching

Stakeholder management

Analytical thinking

Education

Bachelor’s Degree in related discipline

Job description

Raymond James in Saint Petersburg, FL is seeking an experienced Compliance professional to design, implement and supervise a comprehensive compliance program focused on Equity Research and Investment Banking. You will advise a broad range of stakeholders, conduct risk assessments, and coordinate monitoring, testing, and regulatory submissions.

A Bachelor’s degree and at least three years in financial services compliance are required; hybrid work is offered with a competitive salary of $75,000 to