Sr. Advisor, Regulatory Reporting and Operations Compliance

100 Raymond James & Associates, Inc.; Saint Petersburg (FL); In loco; USD 90.000 - 120.000; Tempo pieno

Vantaggi offerti da questo lavoro

Medical, dental, vision

Life insurance

Disability benefits

Retirement savings

Paid time off

Parental leave

Descrizione del lavoro

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.

Competenze

• 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.

Mansioni

• 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.

Conoscenze

Regulatory knowledge

Securities compliance

Cross-functional collaboration

Policy development

Risk assessment

Communication skills

Formazione

Bachelor’s degree in Finance/Business

Strumenti

Regulatory reporting systems

Descrizione del lavoro

Job Description Summary

Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in the securities industry to ensure compliance with all securities and/or banking rules and regulations. Coordinates compliance functions, guides compliance efforts, and acts as a liaison between functional areas. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Maintains extensive contact with internal customers, including broker dealer Operations and Regulatory Reporting (FINOP) to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities

• Oversees compliance program for an assigned business area to ensure compliance processes and procedures are integrated and aligned with business processes.
• Directs adjustments to existing programs, policies, and procedures, as required.
• Ensures that compliance activities are commensurate with the level of risk being mitigated.
• Provides escalated support and guidance to compliance efforts in assigned business entity.
• Partners with Operations, Risk, Legal, Technology, and business stakeholders to support various initiatives, control enhancements, issue remediation efforts, and process improvements.
• Informs appropriate Senior Management about issues that may involve rule violations or potential liability.
• Assists Management in implementing adequate controls and quality assurance processes to detect and address potential compliance problems.
• Performs research on regulatory requirements, interpretive guidance, industry practices, and external enforcement actions to support compliance assessments and recommendations.
• Monitors exception and other internal reports for employee adherence with rules and regulations.
• Participates in policy discussions related to compliance.
• Reviews documentation related to compliance issues for validity and alignment with organizational policies.
• Prepares and delivers written and oral presentations to senior management.
• May coordinate and/or oversee responses to regulatory agency inquiries.
• Reports compliance program status and activities to compliance and business management personnel.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Concepts, practices, and procedures of securities industry and/or banking compliance reviews.
• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); Municipal Securities Rulemaking Board (MSRB), state securities regulatory agencies; Office of the Comptroller of the Currency (OCC); and the Federal Reserve System.
• Fundamental investment concepts, practices and procedures used in the securities industry.
• Principles of brokerage, finance and securities industry operations.
• Financial markets and products.

Skill in:

• Overseeing compliance programs.
• Integrating and aligning compliance processes and procedures with business processes.
• Coordinating complex compliance activities.
• Providing support and guidance for compliance efforts.
• Identifying and implementing controls and quality assurance processes.
• Reviewing materials for compliance with rules and regulations.
• Researching compliance issues.
• Developing compliance training programs.
• Gathering information and preparing oral and written reports.
• Preparing and delivering written and oral presentations.
• Investigating potential irregularities.
• Making rule-based and analytical decisions.
• Operating standard office equipment and using required software applications.

Ability to:

• Partner with other functional areas to accomplish objectives.
• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
• Attend to detail while maintaining a big picture orientation.
• Gather information, identify linkages and trends, and apply findings to assignments.
• Interpret and apply securities and/or banking regulations and identify and recommend policy and procedural changes as appropriate.
• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.
• Work independently as well as collaboratively within a team environment.
• Provide a high level of customer service.
• Establish and maintain effective working relationships at all levels of the organization.
• Maintain confidentiality.
• Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.

Educational/Previous Experience Requirements

• Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of experience in Compliance and/or the financial services industry preferred.
• ~or~ Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/ Certifications

None Required.

Education Work Experience Certifications Travel Less than 25% Workstyle Hybrid

Compensation

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions.

Benefits

• medical, dental, and vision
• life insurance
• critical illness insurance and accident insurance
• disability benefits
• retirement savings
• paid time off (including vacation, holidays, and sick leave)
• parental leave

Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

Company Values and Culture

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

We expect our associates at all levels to:

• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm

Company Philosophy

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive.

The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

#LI-AF1

Company Overview

Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities.

History

Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm.

Global Presence

Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF.

Working at Raymond James

Our business is deeply focused on people and their financial well-being.

We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper.

We believe doing well and doing good aren't mutually exclusive.

As an established but ever-evolving company, you can start – or continue – growing your career here.

We invest in you with wide-ranging benefits and the support of leaders and colleagues who care.

From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow.

Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.