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Raymond James · 1 month ago

Compliance Director, Capital Markets and Advisory

St Petersburg, Florida - United States

Full-time

Hybrid

Senior Level, Lead/Staff

10+ years exp

Raymond James is a financial services firm seeking a Compliance Director for its Capital Markets and Advisory division. The role involves designing and supervising a comprehensive compliance program, managing compliance processes, and ensuring alignment with regulatory requirements while fostering positive business relationships.

BankingFinancial ServicesInformation TechnologyInsuranceWealth Management

Growth Opportunities

Responsibilities

Manages Capital Markets & Advisory (“CMA”) Compliance’s core compliance program to ensure compliance processes and procedures are integrated, along with supporting reporting and dashboards, to ensure all is aligned with RJF Central Compliance

Supports the CMA Business Unit Compliance teams to develop and maintain compliance programs, systems, policies, and procedures to ensure compliance with federal, state, and self-regulatory regulations. Minimizes the firm’s risk exposure while balancing business concerns

Maintains the required compliance processes for the division while fostering positive business relationships with department associates and business associates/affiliates

May serve as a liaison between the organization and industry committees such as SIA, FSI, and the FINRA

Reviews compliance controls and recommends appropriate changes, as required

Supports CMA Compliance management in preparing the CMA Compliance Risk Assessment

Collaborates with CMA Business Unit Compliance teams in the development and implementation of continuing education and training programs for the department in conjunction with management. Maintains ad hoc training inventory and coordinates training with other compliance activities

Functions as Project Manager for the CMA Business Unit Compliance teams, determining scope and objectives, managing project schedule and ensuring process and providing updates

Serves as expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations

May oversee compliance exception reporting processes and take appropriate action, as required

Continually evaluates department structure and strategic plan, considering future growth as needed. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service

May coach, train, and mentor other Compliance associates

Ensures processes and procedures support efficient and timely workflow

Performs other duties and responsibilities as assigned

Qualification

Securities industry complianceSEC regulationsFINRA regulationsCompliance monitoringProject managementAnalytical decision makingWritten communicationVerbal communicationInterpersonal skills

Required

Bachelor's Degree (B.A./B.S.) in a related discipline required

Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry

Minimum five (5) years management experience within the financial services industry

Advanced Knowledge of concepts, practices, and procedures of securities industry compliance

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

Advanced Knowledge of retail and clearing firm operations

Advanced Knowledge of financial markets and products

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

Advanced Skill in administering regulatory notifications and filings

Advanced Skill in planning and scheduling work to meet regulatory organizational and regulatory requirements

Advanced Skill in investigating compliance issues and irregularities

Advanced Skill in making rule-based and analytical decisions

Advanced Skill in identifying and applying appropriate compliance monitoring procedures and tests

Advanced Skill in written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally

Advanced Skill in preparing oral and/or written reports

Advanced Skill in project management skills and experience sufficient to successfully complete long and short-term projects

Advanced Skill in operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases

Ability to work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities

Ability to attend to detail while maintaining a big picture orientation

Ability to use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives

Ability to establish and communicate clear directions and priorities

Ability to gather information, identify linkages and trends, and apply findings to operations

Ability to maintain currency in laws, rules and regulations related to compliance in assigned functional area(s)

Ability to work independently as well as collaboratively within a team environment to resolve problems