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Raymond James · 2 days ago

Senior Advisor, Compliance- Capital Markets

St Petersburg, Florida - United States

Full-time

Hybrid

Mid, Senior Level

3+ years exp

Raymond James is a financial services firm that emphasizes a people-first culture. The Senior Advisor in Compliance for Capital Markets will oversee compliance programs, provide guidance on compliance issues, and ensure adherence to regulatory standards within the CMA Business Unit.

BankingFinancial ServicesInformation TechnologyInsuranceWealth Management

Growth Opportunities

Responsibilities

Coaches and mentors less experienced Compliance associates

Supports Capital Markets & Advisory (“CMA”) Compliance in overseeing the compliance program for the CMA Business Unit Compliance teams 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 CMA Compliance Management to implement adequate controls and quality assurance processes to detect and address potential compliance problems

Research compliance issues

Alerts Senior CMA Compliance Management of current regulatory issues

Researches, interprets, and translates regulatory rules and regulations for Senior CMA Compliance Management

Monitors exception and other internal reports for employee adherence with rules and regulations

Advises Senior CMA Compliance Management on issues that involve possible rule violations and potential liability

Addresses sensitive compliance issues with CMA Compliance Management

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

Securities complianceBanking complianceRegulatory knowledgeCompliance program oversightCompliance training developmentAnalytical decision makingCustomer serviceInterpersonal communicationTeam collaboration

Required

Bachelor's Degree (B.A./B.S.) in a related discipline and a minimum of three (3) years of experience in the financial services industry, compliance, or risk management

Any equivalent combination of experience, education, and/or training approved by Human Resources

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

Advanced 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

Advanced Knowledge of fundamental 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

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 in 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