Senior Compliance Manager, Management,Securities Senior Compliance Manager, Management,Securities …

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 Compliance Manager, Management,Securities

Compliance Sr. Manager – Exam and Inquiry Management (Securities) - Req. 1903033

St. Petersburg, Florida Compliance Sr. Manager – Exam and Inquiry Management (Securities) - Req. 1903033

Job Summary:
Under limited direction and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to administer and manage an assigned compliance function. Leads major projects, programs or processes with significant business impact. Influences strategic direction, develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. End results are evaluated for achieving goals and objectives. Maintains extensive contact with regulatory agencies and internal partners to identify, research, analyze, and resolve complex issues.

Essential Duties and Responsibilities:
• Oversees regulatory exams and inquiries and the resulting report processes.
• May coach, train and mentor other Compliance associates.
• May assist with the development and implementation of continuing education and training programs for the department in conjunction with management.
• Schedules and oversees regulatory exam and inquiry processes including scheduling, training and review of documents and reports.
• Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements.
• Monitors and reviews reporting, exams and correspondence.
• Partner with business units to recommend policy and process changes to Senior Management.
• Ensures effective coordination occurs within assigned work group and with other work groups.
• Identifies, recommends and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
• May serve as a resource on compliance issues to clients and staff.
• May serve as a compliance liaison on various committees and projects representing the interest of the department.
• Attends and may deliver presentations at industry-related conferences.
• Researches regulatory updates to identify linkages and trends and apply findings.
• Identifies, recommends and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
• Performs periodic reporting on compliance and operational issues as required.
• Assists in preparing the operational budgets for assigned functional area.
• Balances conflicting resource and priority demands.
• 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; 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.
• Investment concepts, practices and procedures used in the securities industry.
• Principles of securities industry operations.
• Financial markets and products.

Skill in:
• Administering regulatory notification and filings.
• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Identifying and applying appropriate compliance monitoring procedures and tests.
• Preparing oral and/or written reports.
• Investigating compliances issues and irregularities.
• Making rule-based and analytical decisions.
• Strong verbal and written communication.
• Operating standard office equipment and using required software applications.

Ability to:
• Coach and mentor others.
• 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.
• 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.
• Maintain currency in laws, rules and regulations related to compliance in assigned functional area.
• Interpret and apply policies and identify and recommend changes as appropriate.
• Quantitatively and/or qualitatively process data.
• Formulate and implement department strategies consistent with long-term company goals.
• Promote team cohesiveness, cooperation, and effectiveness.

Educational/Previous Experience Requirements:
• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience with regulators 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