Raymond James · 1 day ago
Compliance Manager – RJIM Communication Review
St. Petersburg, FL
Full-time
Hybrid
Senior Level
6+ years expRaymond James is a financial services firm that is seeking a Compliance Manager to ensure that firm policies and procedures are up-to-date with industry regulations. The role involves leading compliance efforts, mentoring junior staff, and developing compliance policies while maintaining high levels of autonomy.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
Responsibilities
Conducts review of communications, through the use of various reports and systems
Monitors and keeps up to date with regulations regarding communications and applies them accordingly
Coaches, trains, and mentors less experienced Compliance Specialists
May serve as a “team lead” for more junior compliance associates including potentially assisting in the talent selection process. Reviews the policies, procedures, and test findings produced by other compliance associates
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 Senior Compliance Management about issues that may involve rule violations or potential liability
Assists management to implement adequate controls and quality assurance processes to detect and address potential compliance problems
Research compliance issues
Develops and maintains compliance policies and procedures
May make risk-based recommendations to Senior Management using extensive industry knowledge to review products, production, and asset value changes across the firm’s business lines
Prepares and delivers written and oral presentations to management
Performs other duties and responsibilities as assigned
Qualification
Required
SIE required provided that an exemption or grandfathering cannot be applied
Required to have a Series 7, 24, and 63
Under intermittent supervision and with high level of autonomy, uses extensive knowledge of financial industry marketing/advertising and skills obtained through education and experience in securities and/or the banking industry to ensure firm policies and procedures are up-to-date and commensurate with the level of risk being mitigated as it related to all communication activities
Resolves or recommends solutions to complex problems
Leads defined work or projects of moderate scope and complexity
Maintains extensive contact with internal customers to identify, research, and resolve problems
Conducts review of communications, through the use of various reports and systems
Monitors and keeps up to date with regulations regarding communications and applies them accordingly
Coaches, trains, and mentors less experienced Compliance Specialists
May serve as a “team lead” for more junior compliance associates including potentially assisting in the talent selection process
Reviews the policies, procedures, and test findings produced by other compliance associates
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 Senior Compliance Management about issues that may involve rule violations or potential liability
Assists management to implement adequate controls and quality assurance processes to detect and address potential compliance problems
Research compliance issues
Develops and maintains compliance policies and procedures
May make risk-based recommendations to Senior Management using extensive industry knowledge to review products, production, and asset value changes across the firm's business lines
Prepares and delivers written and oral presentations to management
Performs other duties and responsibilities as assigned
Knowledge, Skills, and Abilities: Concepts, practices, and procedures of securities industry and/or banking compliance reviews
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
Fundamental investment concepts, practices and procedures used in the securities industry
Principles of banking and finance and securities industry operations
Financial markets and products
Skill In: Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies
Detail orientation to ensure the regulatory liability is limited, without impairing workflow
Integrating and aligning compliance processes and procedures with business processes
Coordinating complex compliance activities
Providing support and guidance for compliance efforts
Reviewing materials for compliance with rules and regulations
Researching compliance issues
Gathering information and preparing oral and written reports
Preparing and delivering written and oral presentations
Investigating relevant irregularities
Making rule-based and analytical decisions
Operating standard office equipment and using required software applications
Ability To: Provide training, coaching, and mentoring for others
Partner with other functional areas to accomplish objectives
Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed
Attend to detail while maintaining a big picture orientation
Gather information, identify linkages and trends, and apply findings to assignments
Interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate
Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels
Work independently as well as collaboratively within a team environment
Provide a high level of customer service
Establish and maintain effective working relationships at all levels of the organization
Maintain confidentiality
Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance
Preferred
Bachelor's degree (B.A. /B.S.) and a minimum of six (6) 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
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