Compliance Manager

Job Description Summary

Monitor and analyze the organization's operational risk exposure, and contribute to the development of operational risk policies. Analyze existing processes, procedures and systems and advise on improvements.



Under intermittent supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to assist in administering and managing an assigned compliance function. Works independently and collaborates on assignments that are broad in nature requiring originality and ingenuity. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers to identify, research, analyze, and resolve complex issues.

Job Description

Job Summary

Under intermittent supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to assist in administering and managing an assigned compliance function. Works independently and collaborates on assignments that are broad in nature requiring originality and ingenuity. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers to identify, research, analyze, and resolve complex issues.

Essential Duties and Responsibilities

• Assists the Capital Markets Fixed Income Compliance team with managing their core compliance program to ensure compliance processes and procedures are integrated and aligned with RJF Central Compliance.

• May support other business units within Capital Markets Compliance.

• Provides support and guidance to compliance efforts in RJFs Compliance Pillars. 

• Participates in creating adjustments to existing programs, policies and procedures, as required.

• Assists with the development and implementation of continuing education and training programs for the department in conjunction with management.

• Schedules and oversees compliance processes including scheduling, training, and review of compliance reporting.

• May report compliance program status and activities to Compliance management.

• Performs, contributes and manages periodic testing of the business unit Compliance program. 

• May manage external compliance examinations and inquiries, ensuring that requested information and reports are provided.

• May assist in creating written and oral presentations.

• Engages in creative and solution driven thinking to assist with varying projects

• 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 compliance liaison on various committees and projects representing the interest of the department.

• Serves as a resource on compliance issues to clients and staff.

• Contributes to ensuring that compliance activities are commensurate with the level of risk being mitigated.

• Informs Senior Compliance Management about issues that may involve rule violations or potential liability.

• May coach, train, and mentor others Compliance associates.

• May interact with business unit management, Compliance Managers and associates, Technology Strategy and Alignment department, Supervision & Supervision management, Compliance & Standards Committee, and FINRA and SIFMA representatives.

• 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 and/or banking compliance.

• Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; 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; state banking regulatory agencies.

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

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

Advanced skill in:

• 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.S.) and a minimum of six (6) years of relevant work experience in the securities industry with an emphasis on Compliance.

~or~

• Any equivalent combination of education, training and/or experience 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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