Job Description Summary
Under intermittent supervision and with significant autonomy uses extensive knowledge and skills obtained through education, experience, and specialized training in securities or banking industry compliance to integrate compliance and operational strategies into programs and processes. This role is responsible for driving the tactical and strategic success of the firm’s Compliance Surveillance program, including overseeing the business management function for the Surveillance & Analytics team. Reporting to the SVP, Dept Mgr. of PCG Surveillance Compliance, the position focuses on developing and maintaining operational reporting and controls, designing efficient workflows, and implementing process improvements that enhance governance and risk oversight. A key responsibility includes coordinating across verticals within organization to ensure timely and accurate execution of deliverables. The role requires strong analytical capabilities, strategic thinking, and the ability to maintain confidentiality using firm-approved processes, platforms, and tools.Job Description
Essential Duties and Responsibilities
Design and implement workflows and processes derived from data provided by compliance teams to support enterprise-wide objectives.
Develop and maintain project tracking frameworks and templates for PCG Compliance verticals to ensure consistency and efficiency.
Create dashboards and reporting solutions that summarize key metrics and trends for leadership review.
Performs human resources management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, as well as participating in interviewing and selecting staff.
Plans, assigns, monitors, reviews, evaluates, and leads the work of others.
Coaches and mentors subordinate, identifies training needs, and recommends appropriate development programs.
Partners with the Data Analytics team to create reports and other visuals from output of the analytics program.
Oversees compliance exception reporting processes and approves corrective actions.
Ensures effective coordination within assigned work group and with other work groups.
Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance systems.
Serves as a compliance liaison on various committees and projects that represent the department’s interest(s).
Attends and delivers presentations at industry conferences.
Periodically reports on compliance and operational issues.
Assists in preparing the operational budgets for assigned functional area.
Balances conflicting resource and priority demands.
Coordinates team events and meetings.
Assists department manager with preparation of key governance, working group and leadership meetings.
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities
Advanced Knowledge of:
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.
Advanced Skill in:
Planning and scheduling work to meet regulatory organizational and regulatory requirements.
Preparing oral and/or written reports.
Making rule-based and analytical decisions.
Strong verbal and written communication.
Operating standard office equipment and using required software applications.
Ability to:
Manage, coach and mentor 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.
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.
Establish and maintain effective working relationships at all levels of the organization.
Maintain confidentiality.
Maintain currency in laws, rules and regulations related to compliance in assigned functional area.
Interpret and apply policies and identify and recommend changes as appropriate.
Quantitatively and/or qualitatively process data.
Formulate and implement department strategies consistent with long-term company goals.
Educational/Previous Experience Requirements
Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience in the financial services industry, compliance, or risk management.
~or~
Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
None Required.
Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
Education
Work Experience
Certifications
Travel
Less than 25%Workstyle
HybridAt Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
We expect our associates at all levels to:
• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm
At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
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