Senior Advisor, Compliance,Surveillance Senior Advisor, Compliance,Surveillance …

Raymond James Financial Incorporated
in Saint Petersburg, FL, United States
Permanent, Full time
Be the first to apply
Raymond James Financial Incorporated
in Saint Petersburg, FL, United States
Permanent, Full time
Be the first to apply
Senior Advisor, Compliance,Surveillance

Senior Advisor, PCG Compliance Surveillance - Req. 1902346

St. Petersburg, Florida Senior Advisor, PCG Compliance Surveillance - Req. 1902346

Job Summary:
Under administrative direction, 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 un-reviewed 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:
• Provides escalated support and guidance to compliance efforts in assigned business entity.
• Informs appropriate 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.
• Surveils for potential suitability and sales practice breaches of conduct through research surrounding client and trade profiling for identified targets.
• Researches compliance issues regarding the surveillance mechanism, workflow, procedures, logic, surrounding surveillance reviews
• Identifies, analyzes, and interprets trends or patterns in complex data sets.
• Defines new process improvement opportunities
• Tests logic for new surveillance reviews and provides feedback on reliability and significance of data
• Monitors exception and other internal reports for employee adherence with rules and regulations.
• Addresses sensitive compliance issues with Management in assigned functional area.
• Prepares and delivers written and oral presentations to management.
• Reports compliance program status and activities to compliance and business management personnel.
• Performs other duties and responsibilities as assigned.



Knowledge, Skills, and Abilities:
Advanced knowledge of:

• Sales practice and suitability laws, rules, regulations and best practices.
• Concepts, practices and procedures of securities industry compliance reviews.
• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.
• Fundamental investment concepts, practices and procedures used in the securities industry.
• Principles of banking and finance and securities industry.
• Financial markets and products.

Skill in:
• Using critical thinking and analytical expertise amongst several alert detection systems
• Developing and updating controls for monitoring of compliance surveillance functions
• Experience with the Microsoft Office suite including Excel, Access, and PowerPoint.
• Integrating and aligning compliance processes and procedures with business processes.
• Providing support and guidance for compliance efforts.
• Identifying and implementing controls and quality assurance processes.
• Researching compliance issues.
• Gathering information and preparing oral and written reports.
• Preparing and delivers written and oral presentations.
• Investigating relevant data 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.
• 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.
• Establish and maintain effective working relationships at all levels of the organization.
• Maintain confidentiality.

Educational/Previous Experience Requirements:
• 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.
• Any equivalent combination of experience, education, and/or training approved by Human Resources.

• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Raymond James Guiding Behaviors

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