Advisor, Anti Bribery & Anti Corruption Compliance

Raymond James•Saint Petersburg, FL

14h•Hybrid

About The Position

Under general supervision, uses specialized knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry compliance to gather information, analyze operational risk performance, identify possible risks and make recommendations for operational improvements. May be responsible for coordinating compliance functions, developing training programs and ability to liaison between functional areas. May lead projects of moderate scope and complexity. Serves as a Technical Advisor to teams. Some guidance is provided to perform varied work that is somewhat difficult in nature and that requires evaluation, originality, and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Maintains extensive contact with internal customers to identify, research, and resolve problems.

Requirements

Knowledge of the U.S. Foreign Corrupt Practices Act, the U.K. Bribery Act or similar laws and regulations.
Knowledge of the key components of anti-bribery and anti-corruption policies, standards, and procedures.
Knowledge of concepts, practices, and procedures of securities industry and/or banking compliance reviews.
Knowledge of fundamental Investment concepts, practices, and procedures used in the securities industry.
Knowledge of Financial markets and products.
Skill in determining and analyzing trends from data that is collected to assist in compiling reports that will help in decision-making.
Skill in identifying, assessing, prioritizing and managing risks.
Skill in reviewing and evaluating recommendations and requirements and developing appropriate plans or deliver actions required.
Skill in monitoring compliance programs.
Skill in integrating and aligning compliance processes and procedures with business processes.
Skill in coordinating complex compliance activities.
Skill in providing support and guidance for compliance efforts.
Skill in identifying and implementing controls and quality assurance processes.
Skill in reviewing materials for compliance with rules and regulations.
Skill in researching compliance issues.
Skill in developing compliance training programs.
Skill in gathering information and preparing oral and written reports.
Skill in preparing and delivering written and oral presentations.
Skill in investigating compliance irregularities.
Skill in making rule-based and analytical decisions.
Skill in operating standard office equipment and using required software applications.
Ability to attend 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 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 currency in securities and/or banking industry rules and regulations and best practices in compliance.
Bachelor’s degree (B.A. /B.S.) and a minimum of two (2) years of experience in Compliance and/or the financial services industry.
Any equivalent combination of experience, education, and/or training approved by Human Resources.

Nice To Haves

Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Responsibilities

Conduct due diligence to identify bribery and corruption risk on vendors, prospective employees, charitable contributions, third-party relationships and other relevant business activities.
Advise on Anti-Bribery and Anti-Corruption matters, including interpretation of policies, application of controls, and evaluation of heightened-risk scenarios.
Assist in the development of compliance trainings.
Support Anti-Bribery and Anti-Corruption risk assessments.
Support drafting of policies, standards, and procedures to help manage and mitigate anti-bribery and anti-corruption risk.
Prepare and enhance metrics and reporting for senior management and other audiences.
Support a culture of risk management and compliance throughout all levels within the firm.
Research Anti-Bribery and Anti-Corruption related issues.
Monitor Anti-Bribery and Anti-Corruption-related regulatory developments, enforcement actions, and emerging risks.
Perform other duties and responsibilities as assigned.