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Go Senior Manager, PCG RJFS Compliance - Req. 1902497 Description
Job Summary: Under limited direction, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities compliance to support the design, implementation of a comprehensive compliance and risk assessment program. Leads projects, programs or processes with significant business impact. Works independently on risk assessment analysis requiring originality and ingenuity with a high level securities based knowledge to make independent decisions. Influences strategic direction, develops tactical plans and completes complex assignments with substantial 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: - Develops and maintains compliance programs, systems, policies and procedures to ensure compliance with federal, state and self-regulatory regulations. Provides guidance on minimizing the firm-s risk exposure while balancing business concerns. - Maintains the required compliance systems for the firm while fostering positive business relationships with department associates and branch associates/affiliates. - Informs compliance management about issues that may involve rule violations or potential liability and provides advice on corrective actions. - Provides compliance oversight and guidance to compliance efforts in assigned business entity based on trend and pattern reporting. - May assist with the development and review of continuing education and training programs for the department in conjunction with training team. - Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements. - Partner with business units to recommend policy and process changes to compliance management. - Identifies, recommends and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems. - May serve as a resource on compliance issues to clients and staff. - May serve as a compliance liaison on various committees and projects representing the interest of the department. - Stays current with regulatory updates to identify linkages and trends and apply findings. - Identifies, recommends and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems. - Prepares and delivers written and oral presentations to compliance management. - Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities: Advanced knowledge of: - Concepts, practices and procedures of securities industry compliance. - Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies. - Investment concepts, practices and procedures used in the securities industry. - Retail and clearing firm operations. - Financial markets and products.
Skill in: - Administering regulatory notification and filings. - Planning and scheduling work to meet regulatory organizational and regulatory requirements. - Identifying and applying appropriate compliance monitoring procedures and tests. - Investigating compliances issues and irregularities. - Making rule-based and analytical decisions. - Strong verbal and written communication. - Project management skills and experience sufficient to successfully complete long and short term projects. - 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. - 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. - Establish and maintain effective working relationships at all levels of the organization. - Maintain confidentiality. - Maintain currency in laws, rules and regulations related to compliance in assigned functional area. - Interpret and apply policies and identify and recommend changes as appropriate. - Work independently as well as collaboratively within a team environment to resolve problem
Educational/Previous Experience Requirements: - Bachelor-s Degree (B.A. /B.S.) in a related discipline and a minimum of eight (8) years of experience in Compliance and/or the financial services industry. ~or~ - 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 (120 days).
Additional licenses/certifications demonstrating the candidate-s knowledge/expertise in industry regulation and concepts preferred.
Series Licenses Preferred: 7, 24 or 9/10, 66, or 63 and 65
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
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