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Company

Raymond James · 3 hours ago

Senior Oversight and Control Specialist - RJ Trust

United States

Full-time

Remote

Senior Level

5+ years exp

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BankingFinancial Services

Growth Opportunities

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Responsibilities

Assists in developing and maintaining 1st line compliance programs, systems, policies, and procedures to ensure compliance with federal, state and self-regulatory regulations, and to minimize the firm’s risk exposure while balancing business concerns.

Maintains the required compliance policies, procedures, and processes for the RJT Administration Department while fostering positive business relationships with department associates.

Serves as a liaison between the RJT Administration Department and compliance, legal, and/or industry regulators by responding to inquiries, audits, complaints, and investigations.

Reviews compliance and risk management controls, policies and procedures and recommends appropriate changes, as required.

Serves as a resource on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations.

Identify/investigate unusual trends or activity that can be indicative of compliance problems and communicate/escalate as necessary, including recommending practical solutions to compliance issues.

Report, track, and monitor Trust Administration Committee data.

Prepare reports and presentations to Senior Management.

Oversee compliance exception reporting processes and take appropriate action, as required.

Continually evaluates department structure and strategic plan, including future growth as needed, to promote overall efficiency while maintaining a commitment to compliance standards and excellent service.

Ensures processes and procedures support efficient and timely workflow.

Performs other duties and responsibilities as assigned.

Qualification

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Bank compliancePersonal trust complianceFiduciary lawsFinancial markets knowledgeCompliance monitoring proceduresPersonal trust administrationInvestigating compliance issuesSchedulingAnalytical decision makingReport preparationStandard office equipmentSoftware applications

Required

Bachelor’s Degree (B.A. /B.S.) in a related discipline and a minimum of five (5) years of Personal Trust Administration, Compliance, Legal, Banking and/or regulatory experience in the financial services industry.

Knowledge of concepts, practices and procedures of bank and/or personal trust industry compliance.

Knowledge of rules and regulations of the Office of the Comptroller of the Currency (OCC); Consumer Financial Protection Bureau (CFPB); Federal Financial Institutions Examination Council (FFIEC); Federal Reserve System; and/or Federal Deposit Insurance Corporation (FDIC); and applicable state trust codes.

Knowledge of financial markets and products.

Knowledge of concepts, practices and procedures used in the banking industry.

Knowledge of basic concepts, principals, and practices of Fiduciary laws and principles sufficient to administer personal trusts.

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

Skill in investigating compliance, audit, and/or legal issues and irregularities.

Skill in making rule-based and analytical decisions.

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

Skill in written and verbal communications sufficient to professionally address a wide and varied audience both internally and externally.

Skill in preparing oral and/or written reports.

Skill in personal trust administration.

Skill in operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.

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 attend to detail while maintaining a big picture orientation.

Ability to use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.

Ability to establish and communicate clear directions and priorities.

Ability to gather information, identify linkages and trends and apply findings to processes, procedures, and related policies.

Ability to maintain currency in laws, rules and regulations related to compliance in assigned functional area(s).

Ability to partner with other functional areas to accomplish objectives.

Ability to interpret and apply policies and identify and recommend changes as appropriate.

Ability to work independently as well as collaboratively within a team environment to resolve problems.