Raymond James · 1 day ago
Compliance Sr. Manager Fixed Income
St. Petersburg, FL
Full-time
Hybrid
Senior Level, Lead/Staff
$110K/yr - $120K/yr
8+ years expRaymond James is a financial services firm seeking a Compliance Sr. Manager for their Fixed Income business. This role involves overseeing compliance functions, collaborating with various teams, and ensuring adherence to regulatory standards while supporting business objectives.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
Responsibilities
Provide hands-on compliance guidance to Fixed Income Sales & Trading teams
Collaborate closely with front-office professionals to interpret regulations, apply firm policies, and support business objectives in real time
Manage and enhance compliance processes, policies, and procedures to ensure adherence to regulatory requirements
Lead compliance-related projects and change initiatives from inception through completion, including cross-department coordination
Prepare presentations for business and compliance leadership
Research and analyze new or updated regulations to assess impact, identify trends, and implement necessary changes
Ensure compliance with regulatory reporting requirements, trade confirmations and other operations/ middle office functions
Identify, recommend and collaborate with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems
Oversee exception reports, review corrective actions, and prepare compliance reports for management and regulators
Serve as a compliance liaison on internal committees and represent the firm at industry conferences or regulatory forums
Qualification
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
Extensive knowledge and skills obtained through education, experience, and/or specialized training to support the Compliance teams Fixed Income business
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 concepts, practices and procedures used in the securities industry
Advanced Knowledge of principles of finance and securities industry operations
Advanced Knowledge of financial markets and products
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 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
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
Paul Shoukry
Chief Financial Officer
James Sickling
COO - Fixed Income
Recent News
TradingView
2025-12-16
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