Advisor, PCG Compliance Strategy & Reporting

Raymond James•Saint Petersburg, FL

1d•Hybrid

About The Position

Under general supervision, uses specialized knowledge and skills obtained through experience and/or specialized training to acquire and track information needed for activities involving issues management, regulatory changes, and emerging risks owned by PCG & Asset Management Compliance. The Strategic Initiatives team is responsible for prioritizing and driving strategic initiatives, standardizing processes/procedures, developing solutions and building technology platforms, and overseeing the output of strategic reporting to senior leadership for all vertical teams under PCG & Asset Management Compliance. Assists in special projects or initiatives as needed by Strategic Initiatives Management. May be responsible for coordinating compliance functions, developing training programs and ability to liaison between functional areas. 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. May be assigned other tasks, as needed.

Requirements

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; 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.
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 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.
Ability to provide a high level of customer service.
Ability to partner with other functional areas to accomplish objectives.
Ability to attend to detail while maintaining a big picture orientation.
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 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 two (2) years of general experience.
Any equivalent combination of experience, education, and/or training approved by Human Resources.

Nice To Haves

Preferred PowerPoint and Smartsheet experience
Preparing and delivering written and oral presentations.
Investigating compliance irregularities.
Making rule-based and analytical decisions.
Operating standard office equipment and using required software applications.
Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Responsibilities

Supports compliance processes, including scheduling, and developing training materials.
Assists in coordinating with PCG & Asset Management teams to ensure accurate, complete, and timely status updates are received for issues, regulatory changes, and emerging risks.
Assists in developing compliance training programs, including maintaining training records and coordinating training with other compliance activities.
Assists management with obtaining status updates on compliance programs and activities for compliance management reporting.
Prepares and delivers written and oral presentations to management as needed.
Participates in projects/initiatives as needed.
Performs other duties and responsibilities as assigned.