33 applicants

Company

Raymond James · 6 hours ago

Sr. Advisor, Compliance, Branch Examination (Remote Option Available)

United States

Full-time

Remote

Mid, Senior Level

$80K/yr - $95K/yr

3+ years exp

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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.

Qualification

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Securities complianceBanking complianceSEC regulationsFINRA regulationsSeries 7 licenseSeries 24 licenseCompliance program oversightCompliance training developmentRisk assessmentResearching compliance issuesInterpreting regulationsQuality assurance processesFinancial markets knowledgeSeries 9 licenseSeries 10 licenseOral presentationsWritten presentations

Required

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 required or the ability to obtain within an established timeframe.

Required to have a Series 7, 24 or willing to obtain within 120 days of employment.

Knowledge of concepts, practices and procedures of securities industry and/or banking compliance reviews.

Knowledge of 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.

Knowledge of fundamental investment concepts, practices and procedures used in the securities industry.

Knowledge of principles of banking and finance and securities industry operations.

Knowledge of financial markets and products.

Skill in overseeing compliance programs.

Skill in integrating and aligning compliance processes and procedures with business processes.

Skill in coordinating complex compliance activities.

Skill in providing support and guidance for compliance efforts.

Skill in identifying and implementing controls and quality assurance processes.

Skill in reviewing materials for compliance with rules and regulations.

Skill in researching compliance issues.

Skill in developing compliance training programs.

Skill in gathering information and preparing oral and written reports.

Skill in preparing and delivering written and oral presentations.

Skill in investigating relevant irregularities.

Skill in making rule-based and analytical decisions.

Skill in operating standard office equipment and using required software applications.

Ability to partner with other functional areas to accomplish objectives.

Ability to facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

Ability to attend to detail while maintaining a big picture orientation.

Ability to gather information, identify linkages and trends and apply findings to assignments.

Ability to interpret and apply securities and/or banking regulations and identify and recommend policy and procedural changes as appropriate.

Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

Ability to use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.

Ability to work independently as well as collaboratively within a team environment.

Ability to provide a high level of customer service.

Ability to establish and maintain effective working relationships at all levels of the organization.

Ability to maintain confidentiality.

Ability to maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.