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Job Information

Raymond James Financial, Inc. Advisor, Compliance Testing and Monitoring Program Management in St. Petersburg, Florida


Job Summary:

As a member of the Compliance Testing and Monitoring team, this role is responsible for supporting the compliance testing and monitoring programs and methodologies across the enterprise. Using knowledge and skills in financial services obtained through education, experience, which may include securities and/or compliance certifications, the Advisor will work closely with the Senior Manager, Enterprise Programs Testing and Monitoring, other Compliance associates, and stakeholders to support the design, implementation and execution of risk-based compliance testing and monitoring programs.

This role requires basic knowledge of compliance testing, monitoring or audit practices and an understanding of a controls framework. Supports compliance projects, programs or processes with compliance and business impacts. Opportunity to work closely with other members of Compliance and business management in a compliance risk management capacity.

This position reports to the Senior Manager, Enterprise Programs Testing and Monitoring and will be based in St. Petersburg, FL. Other locations may be considered.

Essential Duties and Responsibilities:

  • Collaborate across Compliance teams to maintain risk-based compliance testing and monitoring programs in accordance with the methodologies, regulatory requirements and expectations.

  • Support governance for annual and periodic updates or changes to the enterprise plans.

  • Field questions from those performing compliance testing or monitoring in accordance with the methodologies.

  • May perform reviews of compliance risk management controls and recommend appropriate corrective action with guidance including testing and monitoring.

  • May assist in the coordination of validation of issues identified through testing or monitoring.

  • Support updates and communication of changes to the enterprise methodologies and standards.

  • Help to maintain a training plan for Compliance Testing and Monitoring.

  • Provide aid in enterprise reporting as applicable.

  • Assist with coordinating periodic all-hands meetings across the enterprise.

  • Contribute to the development of a new automated tool for Integrated Risk Management for testing and monitoring.


General Responsibilities

  • Establish relationships with management.

  • Use communication skills in order to influence a wide range of internal audiences.

  • Meet deliverables while adhering to Quality Assurance criteria and utilizing consistent methodology.

  • Possess basic project management skills.

  • Stay up-to-date with evolving industry and regulatory changes impacting the business.

  • Prepare and deliver written and oral presentations to management.

  • Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

  • Concepts, practices and procedures of securities industry compliance.

  • Primary rules and regulations applicable to the broker-dealer(s), bank, trust, and investment adviser(s) of Raymond James, including state laws.

  • Foundational understanding of control disciplines and a solid business understanding of Raymond James products and services.

  • Skill in:

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

  • Investigating compliance issues and irregularities.

  • Making rule-based and analytical decisions.

  • Identifying and applying appropriate compliance testing and monitoring strategies and procedures.

  • Verbal and written communication skills, with the ability to present moderately complex and sensitive issues to management in a persuasive manner.

  • Ability to multitask as well as assess and change priorities.

  • Ability to work well individually, and in teams, share information, support colleagues and encourage participation.

  • Gathering information and preparing oral and/or written reports. Strong knowledge of Microsoft Office Products.

  • Understanding of IT concepts including automated workflows.

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, to accomplish objectives.

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

  • Work independently as well as collaboratively within a team environment.

  • Organize and manage time appropriately based on established timelines to meet department objectives.

Educational/Previous Experience Requirements:

  • Bachelor’s degree (B.A. /B.S.) and a minimum of two (2) years of experience in Compliance and/or the financial services industry.


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

Job: Auditing & Compliance

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Organization RJF Corporate

Schedule Full-time

Job Shift Day Job

Travel Yes, 5 % of the Time

Req ID: 2100366