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Job Description

Job Summary

Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training, and/or certification in securities industry compliance to design, implement and supervise a comprehensive compliance and surveillance program. Leads major projects, programs, or processes with significant business impact collaborating with Raymond James Business Units on matters related to business communications, records retention, and the reporting of certain disciplinary actions to the appropriate regulators. Uses extensive knowledge of financial industry rules regarding electronic communications, social media, and marketing/advertising to administer and manage assigned compliance functions and provide comprehensive solutions to escalated problems or needs. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Maintains extensive contact with customers and regulatory to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities

• Monitors and reviews all reporting, audits and correspondence related to business communications.

• Develops and maintains compliance programs, systems, policies, and procedures to ensure compliance with federal, state, and self-regulatory regulations. Minimizes the firm’s risk exposure while balancing business concerns.

• Supports a specific Business Unit.

• Maintains the required compliance systems for the firm while fostering positive business relationships with department associates and branch associates/affiliates.

• Serves as the primary liaison between the organization and industry regulators by responding to inquiries, audits, complaints, and investigations.

• May serve as a liaison between the organization and industry committees such as SIA, FSI, and the FINRA.

• Reviews compliance and risk management controls and recommends appropriate changes, as required.

• Coordinates the preparation and submission of regulatory filings and maintains required compliance documents.

• Serves as expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations.

• Coordinates and reviews result of key departmental control tests related to Section 404 of the Sarbanes-Oxley Act of 2002.

• May oversee compliance exception reporting processes and take appropriate action, as required.

• May draft and update written supervisory procedure manuals required by the SEC, if applicable.

• Continually evaluates department structure and strategic plan, considering future growth as needed. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service.

• Ensures processes and procedures support efficient and timely workflow.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

• Concepts, practices, and procedures of securities industry compliance.

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.

• Section 404 of the Sarbanes-Oxley Act of 2002.

• Retail and clearing firm operations.

• Financial markets and products.

• Investment concepts, practices and procedures used in the securities industry.

Advanced Skill in:

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.

• Investigating compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Identifying and applying appropriate compliance monitoring procedures and tests.

• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

• Preparing oral and/or written reports.

• Project management skills and experience sufficient to successfully complete long and short-term projects.

• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

• Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Attend to detail while maintaining a big picture orientation.

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.

• Establish and communicate clear directions and priorities.

• Gather information, identify linkages and trends, and apply findings to operations.

• Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s).

• Work independently as well as collaboratively within a team environment to resolve problem.

Educational/Previous Experience Requirements

• Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred. Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.

• Minimum five (5) years management experience within the financial services industry.

or

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None Required. Series 24 preferred.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Education

Work Experience

Certifications

Salary Range

$130,000.00-$155,000.00

Travel

Less than 25%

Workstyle

Remote

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

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.

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