Senior Manager, Compliance Senior Manager, Compliance …

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 Manager, Compliance

Senior Manager, PCG RJFS Compliance - Req. 1902625

St. Petersburg, Florida Senior Manager, PCG RJFS Compliance - Req. 1902625

Job Summary:
Under limited direction, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities compliance to support the design, implementation of a comprehensive compliance and risk assessment program. Leads projects, programs or processes with significant business impact. Works independently on risk assessment analysis requiring originality and ingenuity with a high level securities based knowledge to make independent decisions. Influences strategic direction, develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Maintains extensive contact with internal customers to identify, research, analyze, and resolve complex issues.

Essential Duties and Responsibilities:
• Develops and maintains compliance programs, systems, policies and procedures to ensure compliance with federal, state and self-regulatory regulations. Provides guidance on minimizing the firm’s risk exposure while balancing business concerns.
• Maintains the required compliance systems for the firm while fostering positive business relationships with department associates and branch associates/affiliates.
• Informs compliance management about issues that may involve rule violations or potential liability and provides advice on corrective actions.
• Provides compliance oversight and guidance to compliance efforts in assigned business entity based on trend and pattern reporting.
• May assist with the development and review of continuing education and training programs for the department in conjunction with training team.
• Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements.
• Partner with business units to recommend policy and process changes to compliance management.
• 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.
• Stays current with 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.
• Prepares and delivers written and oral presentations to compliance management.
• 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.
• Investment concepts, practices and procedures used in the securities industry.
• Retail and clearing firm 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.
• Investigating compliances issues and irregularities.
• Making rule-based and analytical decisions.
• Strong verbal and written communication.
• Project management skills and experience sufficient to successfully complete long and short term projects.
• 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.
• 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.
• 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.
• Work independently as well as collaboratively within a team environment to resolve problem

Educational/Previous Experience Requirements:
• Bachelor’s Degree (B.A. /B.S.) in a related discipline and a minimum of eight (8) 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 (120 days).
  • Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
  • Series Licenses Preferred: 7, 24 or 9/10, 66, or 63 and 65
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