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Company

Raymond James · 1 day ago

Compliance Senior Manager- RJ Bank (Remote)

St Petersburg, FL

Full-time

Remote

Senior Level, Lead/Staff

$110K/yr - $120K/yr

8+ years exp

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Responsibilities

Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed by the business processes, including Metrics and Reporting and Mandatory Absence Analysis.

Participates the regulatory change management process, which includes identifying regulatory changes, determining applicability, communicating with stakeholders, and tracking implementation.

Assists with day-to-day Insider Lending and Transactions with Affiliates processes.

Reviews policies, procedures, test findings, and action plans produced by other associates for completeness and accuracy.

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

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

Assists with regulatory examinations and audits, ensuring that requested information and reports are provided.

Works with business to assess and implement new Bank products, services, technologies and initiatives.

Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.

Balances conflicting resource and priority demands.

May serve as a compliance liaison on various committees and projects representing the interest of the department.

Ability to manage, coach, train and mentor others Compliance associates, even if they are not direct reports.

Performs other duties and responsibilities as assigned.

Qualification

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Banking complianceSecurities regulationsRegulatory change managementRisk-based compliance testingFinancial markets knowledgeRegulatory notificationPolicy reviewCoachingData processingMentoring

Required

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.

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

Advanced Knowledge of rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; 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.

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

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

Advanced Knowledge of financial markets and products.

Advanced skill in administering regulatory notification and filings.

Advanced skill in reviewing and editing written materials including policies, procedures, presentations, and testing reports.

Advanced skill in planning and scheduling work to meet regulatory organizational and regulatory requirements.

Advanced skill in identifying and applying appropriate compliance monitoring procedures and tests.

Advanced skill in preparing oral and/or written reports.

Advanced skill in investigating compliance issues and irregularities.

Advanced skill in making rule-based and analytical decisions.

Strong verbal and written communication.

Ability to coach and mentor others.

Ability to manage and perform risk-based compliance testing.

Ability to determine matters requiring escalation to RJ Bank compliance management and ability to do so with the appropriate level of urgency.

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

Ability to maintain confidentiality.

Ability to maintain currency in laws, rules and regulations related to compliance in assigned functional area.

Ability to interpret and apply policies and identify and recommend changes as appropriate.

Ability to quantitatively and/or qualitatively process data.

Ability to formulate and implement department strategies consistent with long-term company goals.

Ability to promote team cohesiveness, cooperation, and effectiveness.