Be an early applicantLess than 25 applicants

Company

Raymond James · 12 hours ago

Compliance Manager- Surveillance & Analytics (Remote Option Available)

St Petersburg, FL

Full-time

Remote

Senior Level

$100K/yr - $110K/yr

6+ years exp

Maximize your interview chances

BankingFinancial Services

Growth Opportunities

Insider Connection @Raymond James

Discover valuable connections within the company who might provide insights and potential referrals.
Get 3x more responses when you reach out via email instead of LinkedIn.

Responsibilities

Reviews the requirement, data and test findings produced by an application to ensure the system(s) meets expectations.

Directs adjustments to existing programs, and procedures, as required.

Provides escalated support and guidance to compliance efforts.

Researches application issues.

Develops training/help programs related to the various Compliance systems overseen by our department.

Reports compliance program status and activities to compliance and business management.

Develops procedures to reconcile data across vendor and internal systems to ensure accuracy of reporting and assist with troubleshooting discrepancies.

Documents and organizes requirements, data analysis and testing progress to support cross-training and collaboration efforts.

Coordination with team members to discuss technology solutions and interpretation of requirements.

Manages relationships with end user surveillance analysts for the purpose of requirements gathering and issue troubleshooting.

Assists management to implement appropriate controls to detect and address potential compliance problems.

Performs other duties and responsibilities as assigned.

Qualification

Find out how your skills align with this job's requirements. If anything seems off, you can easily click on the tags to select or unselect skills to reflect your actual expertise.

Advanced data analyticsCompliance knowledgeCommon SQL languageCompliance training developmentResearching compliance issuesQuality assurance processesOffice equipment operationMentoring othersMaintaining confidentiality

Required

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.

Advanced data analytics concepts.

Common SQL language.

Written and verbal communication.

Providing support and guidance for compliance efforts.

Identifying and implementing controls and quality assurance processes.

Researching compliance issues.

Gathering information and preparing oral and written reports.

Preparing and delivering written and oral presentations.

Investigating relevant irregularities.

Operating standard office equipment and using required software applications.

Provide training, coaching, and mentoring for others.

Establish and communicate clear directions and priorities.

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 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 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.