Relationship Management Advisor, Compliance - Req. 1901439
Under limited supervision, uses specialized knowledge and skills obtained through experience and specialized training in securities, banking, consulting, legal or audit industry. Plays a critical role in the execution of Corporate Compliance mission by providing relationship management and analytical and administrative support. Ability to partner with business and support functions such as legal, risk, and audit. Helps manage external and internal regulatory compliance matters by acting as a central point of contact and providing expertise on compliance matters, identifying themes, assessing risk, and measuring and tracking issues. Coordinates supervisory relationships and all aspects of administrative support. Must be able to work independently and be detailed oriented. Leads projects of moderate scope and complexity. Some guidance is provided to perform varied work that is somewhat difficult in nature and that requires evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Maintains extensive contact with internal and external customers to identify, research, and resolve problems. Effective communicator.
- Assists in Corporate Compliance managing of prudential regulators.
- Assists in building external regulatory and internal business partner relationships to support Corporate Compliance.
- Adjusts existing programs, policies and procedures, as directed.
- Provides support and guidance for compliance efforts.
- Assists Compliance management in implementing adequate controls, governance and policies.
- Reviews compliance related regulatory reports and forms for compliance with rules and regulations.
- Assists in researching compliance issues.
- Assists in developing compliance tools, managing SharePoint sites, building Excel databases, and organizing information.
- Reports compliance program status and activities to compliance management.
- Assists with external compliance examinations, including gathering requested information and reports.
- Prepares and delivers written and oral presentations to business units.
- Performs other duties and responsibilities as assigned.
- Concepts, practices and procedures of securities industry and/or banking compliance reviews.
- Rules and regulations of the 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; Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities 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.
- Monitoring compliance programs.
- Assisting in building professional relationships.
- 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.
- Investigating compliance irregularities.
- Making rule-based and analytical decisions.
- Operating standard office equipment and using required software applications.
- 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 recommend compliance changes as appropriate.
- 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 in 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.
- Bachelor’s degree (B.A. /B.S.) and a minimum of two (2) years of experience in Compliance and/or the financial services industry.
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
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