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Company

Raymond James · 2 days ago

Senior Advisor, Compliance Monitoring and Assurance Reporting (Remote Option Available)

St Petersburg, FL

Full-time

Remote

Mid, Senior Level

$80K/yr - $90K/yr

3+ years exp

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Responsibilities

Collaborates across Compliance to maintain the risk-based compliance monitoring program in accordance with the regulatory obligations/requirements, internal program requirements, and expectations.

Contributes to the delivery of the compliance monitoring program for compliance teams across the enterprise including input from and communication with the stakeholders frequently.

Reviews the policies, procedures, support documentation, and monitoring findings produced by other compliance associates to ensure adherence to program requirements.

Ensures that compliance activities are commensurate with the level of risk being mitigated.

Provides escalated support and guidance to those performing compliance monitoring in accordance with the program requirements.

Informs Senior Compliance Management about issues that may involve rule violations or potential liability.

May perform reviews of compliance controls and recommend appropriate corrective actions for monitoring.

Research compliance issues.

Supports the development and maintenance of compliance monitoring procedures and program documents.

Helps to develops compliance monitoring training programs and coordinating training with other compliance activities.

Supports the development and maintenance of the inventory of assurance reports, including compliance testing and monitoring program status and results reporting to Compliance Management and external stakeholders.

Aids in adjustments to existing programs, policies, and procedures, as required.

Prepares and delivers written and oral presentations to management.

Possess project management skills.

Performs other duties and responsibilities as assigned.

Qualification

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Compliance risk managementU.S. regulatory requirementsSecurities compliance reviewsSECFINRA regulationsSarbanes-Oxley ActInvestment conceptsFinance principlesFinancial markets knowledgeRegulatory notificationsCompliance monitoring proceduresReport preparationInvestigating compliance issuesAnalytical decision makingData processing

Required

Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of three (3) years of experience in Compliance and/or the financial services industry.

Knowledge of the compliance risk management processes.

Knowledge of applicable U.S. broker-dealer and registered investment advisor regulatory requirements and controls.

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

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

Knowledge of Section 404 of the Sarbanes-Oxley Act of 2002.

Knowledge of retail and clearing firm operations.

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

Knowledge of principles of banking and finance and securities industry operations.

Knowledge of financial markets and products.

Skill in administering regulatory notifications and filings.

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

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

Skill in preparing oral and/or written reports.

Skill in investigating compliance issues and 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 pay 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 internal policies and securities and/or banking regulations and identify and recommend compliance 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 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 current knowledge of securities and/or banking industry rules and regulations and best practices in compliance.

Ability to quantitatively and/or qualitatively process data.