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Description

Job Summary

Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry to ensure compliance with all securities and/or banking rules and regulations. Coordinates compliance functions, guides compliance efforts, and act 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. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities

• Uses various surveillance tools including vendor applications, as well as market data resources to perform and research surveillance alerts

• Demonstrates some proficiency in using available tools to perform analytics on large volumes of data to identify patterns and trends and potential risks

• Exhibits strong written and verbal communication skills, able to routinely engage with business partners, members of the compliance department and AML department.

• General understanding of securities markets and investment products including but not limited to mutual funds, unit investment trusts (UITs), exchange traded products (ETPs) and variable annuities.

• Ability to use available tools to perform analytics on large volumes of data to identify patterns and trends related to the business.

• 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.

• Informs and advises appropriate Senior Management about issues that may involve rule violations or potential liability.

• Assists Management to implement adequate controls and quality assurance processes to detect and address potential compliance problems.

• Research compliance issues and trends.

• Researches, interprets, and translates regulatory rules and regulations for Senior Management.

• Monitors exception and other internal reports for adherence with rules and regulations.

• Informs applicable Senior Management on current regulatory issues and items that may involve possible rule violations and potential liability.

• Addresses sensitive compliance issues with Management in assigned functional area.

• Participates in corporate policy discussions related to compliance.

• Reviews documentation related to compliance issues for validity and alignment with organizational policies.

• May coordinate and/or oversee responses to regulatory agency inquiries.

• Reports compliance program status and activities to compliance and business management personnel.

• Assists Management with relevant external examinations, ensuring that requested information and reports are provided.

• Prepares and delivers written and oral presentations to Management.

• Performs other duties and responsibilities as assigned.

Qualifications

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); and state securities regulatory agencies; and/or 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.

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

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

Skill in

• Overseeing compliance programs.

• Data Analytics

• 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 delivers written and oral presentations.

• Investigating relevant 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 recommends 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 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

Education/Previous Experience

• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of three (3) years of experience in Compliance and/or the financial services industry.

• or

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

Licenses/Certifications

• None Required.

• Series 7 preferred

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

Job: Compliance

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

Other Locations: US-AZ-US-Tennessee

Organization RJF Corporate

Schedule Full-time

Job Shift Day Job

Travel Yes, 20 % of the Time

Req ID: 2401817