Compliance Manager - PCG Issues Management - Req. 1901379
PCG Compliance has an opportunity for an individual who will support Issue Management and Strategic Initiatives for the business unit Compliance teams. Under limited direction, uses extensive knowledge and skills obtained through education and experience to engage with partners throughout PCG, across risk and communications functions, and in the business units to ensure Issue Management goals are met. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with a high level of 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:
• Leads Issue Management projects to ensure compliance processes and procedures are integrated and aligned with department and firm processes.
• Manages Strategic Initiative operations to ensure effective planning, coordination and execution of projects, events and changes.
• Coaches, trains and mentors less experienced Compliance associates, and may serve as a “team lead” for more junior compliance associates including potentially assisting in the talent selection process.
• Provides escalated support and guidance to PCG Compliance efforts.
• Reports Issue Management program status and activities to PCG Compliance and business management.
• Routinely interacts with senior leaders within PCG Compliance and across the firm.
• Prepares and delivers written and oral presentations to management.
• Informs PCG Compliance Senior Management about issues that may affect involve rule violations or potential liability.
• Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
Advanced Knowledge of:
• Project planning and issue management.
• Integrating and aligning compliance processes and procedures with business and supervisory processes.
• Coordinating complex compliance and supervision activities.
• Providing support and guidance for compliance efforts.
• Gathering information, identifying linkages and trends, and preparing oral and written reports.
• Concepts, practices and procedures of securities industry and/or banking compliance reviews.
• Fundamental investment concepts, practices and procedures used in the securities industry.
• Principles of banking and finance and securities industry operations.
• Financial markets and products.
• 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.
Advanced Skill in:
• Preparing and delivering written and oral presentations.
• Making rule-based and analytical decisions.
• Providing training, coaching and mentoring for others.
• Interpreting and applying securities and/or banking regulations and identifying and recommending compliance changes as appropriate.
• Working under pressure on multiple tasks concurrently and meeting deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
• Facilitating meetings, ensuring that all viewpoints, ideas and problems are addressed.
• Partnering with other functional areas to accomplish objectives.
• Attending to detail while maintaining a big picture orientation.
• 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.
• Operate standard office equipment and using required software applications.
Educational/Previous Experience Requirements:
• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in Compliance and/or the financial services industry.
• Any equivalent combination of experience, education and/or training as 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