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Institutional Consultant - Req. 1800548


Job Summary:


Under limited supervision and with a high level of autonomy, uses specialized knowledge and skills obtained through education and experience to analyze and administer bank and credit union regulations. Supervises firm policies and procedures for Institutional Supervision. Performs project management analysis and administration tasks in an assigned functional area. Exercises latitude and judgment in accordance with well-defined policies, procedures, and techniques. Leads projects of moderate scope and complexity. Maintains extensive contact with Regional Management, PCG financial institutions and regulatory departments to accomplish objectives.


Essential Duties and Responsibilities:


• Manage the updated database containing all Private Client Group (PCG) financial institution relationships.

• Supervise and monitor Raymond James financial institution referral grams for the firm (FID, ICD, and RJA).

• Manage, update and maintain compliance with policies and procedures for Institutional Supervision.

• Conduct due diligence reviews of existing and new PCG financial institution relationships (FID, ICD, and RJA).

• Monitor financial ratios for existing financial institution relationships in order to identify and address risks.

• Supervise RJFS-FID affiliated compensation plans and RJFS-FID Referral Programs to ensure compliance with firm and regulatory policies.

• Review contracts in conjunction with the Director of Strategy and Operations.

• Oversee the policies and procedures for Raymond James investment programs and financial institutions (FID, ICD, and RJA).

• Address internal audit requests and responses for the various financial institutions.

• Manage financial institution vendor management due diligence requests.

• Interface with Regional Management to inform them of any supervisory concerns with affiliated financial institutions. Collaborate with Regional Management to address such concerns, as applicable.

• Perform other duties and responsibilities as assigned.





Knowledge, Skills, and Abilities:

Knowledge of:

• Concepts, practices and procedures of assigned functional area.

• Securities industry regulations, bank and credit union industry, and regulatory requirements.

• Concepts, practices and principles of project management including analysis, administration, documentation and execution.

• Firm’s working structure, policies, mission, and strategies.

Skill in:

• Creating and managing project documentation and communications.

• Coordinating projects, communicating changes and progress, and completing projects on time and within budget.

• Critical thinking, decision-making, and interpreting regulatory rules and compliance policies.

• Detail orientation to ensure the regulatory liability is limited, without impairing workflow.

• Communicating clearly and informatively and presenting numerical data effectively.

• Operating accurately and thoroughly while applying feedback to improve performance.

• Completing tasks on time or notifying the appropriate person with alternate plan(s).

• Collecting, researching and analyzing data.

Ability to:

• Independently manage and complete multiple projects and tasks with minimal direct supervision.

• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels including Institution Executives and Branch Managers. 

• Identify and resolve problems in a timely manner.

• Collaborate effectively within to solve problems and develop solutions.

• Continuously build knowledge and skills in project management and administration.

• Read and interpret written information, regulations, policies and procedures.

• Communicate the reason for decisions and include the appropriate parties in the decision-making process.

• Provide a high level of customer service.

• Handle frequent change, delays, or unexpected events.

Educational/Previous Experience Requirements:

• Bachelor’s Degree (B.S.) in a related field with a minimum of six (6) years of relevant work experience.


• Any equivalent combination of experience, education and/or training approved by Human Resources.


• Series 7 license required. 

• Series 24 license required or the ability to obtain license within ninety (90) days of hire.