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Job Description

Job Summary

Under general supervision, uses specialized knowledge and skills obtained through experience, specialized training and/or certification in banking and financial services industry to ensure compliance with applicable banking rules and regulations. May be responsible for coordinating compliance functions, developing training programs and ability to liaison between functional areas. May lead projects of moderate scope and complexity. Serves as a Technical Advisor to teams and performs varied work that is somewhat difficult in nature and that requires evaluation, originality, and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Maintains extensive contact with internal customers to identify, research, and resolve problems.

Essential Duties and Responsibilities

• Assists in overseeing compliance program(s) for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes.

• Performs risk-based compliance testing and monitoring.

• Adjusts existing programs, policies, and procedures, as directed.

• Provides support and guidance for compliance efforts in assigned business entity.

• Assists management in implementing adequate controls and quality assurance processes to provide early identification of potential compliance problems.

• Reviews advertising, disclosures, notices, compliance related regulatory reports and forms for compliance with rules and regulations.

• Assists in researching compliance issues.

• Assists in developing compliance training programs, including maintaining training records and coordinating training with other compliance activities.

• Reports compliance program status and activities to compliance management.

• Assists with external compliance examinations, including gathering requested information and reports.

• Prepares and delivers written and oral presentations to business units.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Concepts, practices, and procedures of the banking and financial services industries.

• Concepts, practices and procedures of banking and financial services compliance.

• Rules and regulations of the r Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

Skill in:

• Monitoring 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 regulatory and compliance topics.

• Gathering information and preparing oral and written reports.

• 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.

• Attend to detail while maintaining a big picture orientation.

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

• Interpret and apply banking regulations and identify and recommend compliance 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 writing, with all organizational levels.

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

• Provide a high level of partnership with business to be a trusted advisor.

• 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 zero (0) to two (2) 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.

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

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

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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