Raymond James · 4 hours ago
Senior Advisor, Compliance Executive Reporting & Strategy
St. Petersburg, FL
Full-time
Hybrid
Mid, Senior Level
3+ years expRaymond James is a financial services firm seeking a Senior Advisor for Compliance Executive Reporting & Strategy. The role involves supporting executive reporting and strategy for the Compliance department, collaborating with cross-functional teams, and managing the preparation and delivery of Compliance reports for senior leaders.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
Responsibilities
Manages the preparation, consolidation and delivery of monthly and quarterly Compliance reports for senior leaders
Collaborates with cross-functional teams to gather, validate and analyze Compliance data to ensure accuracy and completeness
Develops and maintains reporting templates and tools to streamline recurring reporting processes
Monitors reporting timelines and ensure all deliverables meet internal deadlines and quality standards
Identifies opportunities for process improvements and automation within the reporting function
Supports ad hoc reporting requests and special projects as directed by Compliance leadership
Supports the annual review and update process for the Code of Conduct, coordinating with key stakeholders to ensure content remains current, relevant and aligned with regulatory expectations and company values
Manages version control, documentation and communication of Code of Conduct updates across the organization
Routinely interacts with senior leaders within Compliance, Risk, AML and across the firm
May represent the Compliance department on cross-functional projects as they arise
Prepares and delivers written and oral presentations to management and other stakeholders
Performs other duties and responsibilities as assigned
Qualification
Required
Bachelor's degree (B.A. /B.S.) and a minimum of three (3) years of experience in Compliance and/or the financial services industry preferred
Any equivalent combination of experience, education, and/or training approved by Human Resources
Effective reporting and communicating complex information
Fundamental investment concepts, practices and procedures used in the securities industry
Principles of banking and finance and securities industry operations
Gathering, streamlining and communicating complex information in a digestible way
Creating reports, presentations and talking points for senior leaders
Providing support and guidance for compliance efforts
Reviewing materials for compliance with rules and regulations
Researching compliance issues
Writing, editing and proofreading
Microsoft PowerPoint, Word, Excel and SharePoint
See projects through from conception to successful execution
Absorb unfamiliar topics quickly
Attend to detail while maintaining a big picture orientation
Partner with other functional areas to accomplish objectives
Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels
Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed
Prioritize tasks and pivot quickly when necessary
Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions
Work independently as well as collaboratively within a team environment
Seek and implement constructive feedback
Troubleshoot problems and proactively suggest solutions
Provide a high level of customer service
Establish and maintain effective working relationships at all levels of the organization
Maintain confidentiality
Preferred
Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred
Company
Raymond James
Raymond James provides a range of investment banking services focused on the telecommunications and communications sectors.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$1.5B2025-09-09Post Ipo Debt· $1.5B
1983-07-01IPO
Leadership Team
James Sickling
COO - Fixed Income
Eric Lauzon
SVP Growth & Development, Private Client Group
Recent News
TradingView
2025-12-16
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