Senior Advisor, CTA Compliance - Req. 1901812
Under administrative direction, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry to ensure compliance with all securities and/or banking rules and regulations. Coordinates compliance functions, guides compliance efforts, and act 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 solutions to complex problems. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.
Essential Duties and Responsibilities:
• Coaches and mentors less experienced Compliance associates.
• 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 programs, policies and procedures, as required.
• Ensures that compliance 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.
• Researches compliance issues.
• Alerts Senior Management of current regulatory issues.
• Researches, interprets and translates regulatory rules and regulations for Senior Management.
• Monitors exception and other internal reports for employee adherence with rules and regulations.
• 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.
• Prepares and delivers written and oral presentations to senior management.
• May coordinate and/or oversee responses to regulatory agency inquiries.
• Develops compliance training programs in conjunction with other compliance activities, as well as maintains training records.
• Reports compliance program status and activities to compliance and business management personnel.
• Manages relevant external examinations, ensuring that requested information and reports are provided.
• Prepares and delivers written and oral presentations to Management.
• 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 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); Office of Thrift Supervision (OTS); 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.
• Overseeing compliance programs.
• 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.
• Developing compliance training programs.
• Gathering information and preparing oral and written reports.
• Preparing and delivers written and oral presentations.
• Investigating relevant irregularities.
• Making rule-based and analytical decisions.
• Operating standard office equipment and using required software applications.
• 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 policy and procedural 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 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.
Educational/Previous Experience Requirements:
• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of three (3) years of experience in Compliance and/or the financial services industry.
• Any equivalent combination of experience, education, and/or training 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.
- Series 7 & 24 or Series 6 & 26
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