Raymond James · 19 hours ago
Senior Advisor, Compliance- Capital Markets
St. Petersburg, FL
Full-time
Hybrid
Mid, Senior Level
3+ years expRaymond James is a financial services firm, and they are seeking a Senior Advisor to oversee compliance within the Capital Markets Business Unit. The role involves guiding compliance efforts, mentoring less experienced associates, and ensuring adherence to regulatory requirements.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
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
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
Extensive knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry
Ability to ensure compliance with all securities and/or banking rules and regulations
Experience in overseeing compliance programs
Ability to integrate and align compliance processes and procedures with business processes
Experience in coordinating complex compliance activities
Ability to provide support and guidance for compliance efforts
Experience in identifying and implementing controls and quality assurance processes
Ability to review materials for compliance with rules and regulations
Experience in researching compliance issues
Ability to develop compliance training programs
Experience in gathering information and preparing oral and written reports
Ability to prepare and deliver written and oral presentations
Experience in investigating relevant irregularities
Ability to make rule-based and analytical decisions
Ability to partner with other functional areas to accomplish objectives
Ability to facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed
Attention 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
Preferred
Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts
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 Executive Officer
James Sickling
COO - Fixed Income
Recent News
Private Banker International
2026-01-17
2026-01-16
Company data provided by crunchbase