Job Description

Job Summary

Under general supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in adult learning and education design and development, as well as securities and/or banking industry to ensure compliance alignment with all securities and/or banking rules and regulations. Designs and develops engaging compliance training courses that meet regulatory compliance objectives and inspire associates to adhere to policies. Coordinates compliance functions, guides compliance efforts, and acts 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 learning solutions to complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities

• Consults and develops compliance training and education programs in conjunction with other compliance activities.

• Applies best practices in learner experience research to develop instructional strategies and curate training and education content to build effective compliance training.

• Incorporates emerging compliance risks and regulatory trends into the curriculum.

• Oversees compliance program for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes.

• Directs adjustments to existing training and education programs, policies, and procedures, as required.

• Ensures that compliance training and education activities are commensurate with the level of risk being mitigated.

• Provides escalated support and guidance to compliance efforts in assigned business entity. 

• Informs 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 related to the enterprise Compliance training and education program.

• Research compliance issues.

• Researches, interprets, and translates regulatory rules and regulations for Senior Management and inclusion in training and education programs.

• Advises Senior Compliance Management on issues that 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, and understanding as you incorporate into compliance training and education programs.

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

• Prepares and delivers written and oral presentations to Management.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Adult learning theory, eLearning design best practices, traditional and modern learning design and development techniques

• Training measurement and evaluation best practices

• 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); 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:

• Translating needs analysis data into engaging, effective, and efficient training that manages risk and drives results.

• Consulting, designing, developing, and overseeing compliance training and education programs.

• Excellent interpersonal and written skills, and the ability to interact effectively with all levels of the organization.

• 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.

• Gathering information and preparing oral and written reports.

• Preparing and delivering written and oral presentations. 

• 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 impactful training designs.  

• 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.

Education

Bachelor’s

Work Experience

General Experience - 3 to 6 years

Certifications

Other Certification Not Listed - Other

Salary Range

$80,000.00-$90000.00

Travel

Less than 25%

Workstyle

Remote

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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