Compliance Director, Capital Markets and Advisory

Raymond James•Saint Petersburg, FL

53d•Hybrid

About The Position

Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to design, implement and supervise a comprehensive compliance and oversight program. Works within a specified Business Unit to lead major projects, programs, or processes with significant business impact. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Maintains extensive contact with customers and regulatory to identify, research, analyze and resolve complex issues.

Requirements

Advanced Knowledge of: Concepts, practices, and procedures of securities industry compliance.
Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.
Retail and clearing firm operations.
Financial markets and products.
Investment concepts, practices and procedures used in the securities industry.
Advanced Skill in: Administering regulatory notifications and filings.
Planning and scheduling work to meet regulatory organizational and regulatory requirements.
Investigating compliances issues and irregularities.
Making rule-based and analytical decisions.
Identifying and applying appropriate compliance monitoring procedures and tests.
Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.
Preparing oral and/or written reports.
Project management skills and experience sufficient to successfully complete long and short-term projects.
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, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
Attend to detail while maintaining a big picture orientation.
Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.
Establish and communicate clear directions and priorities.
Gather information, identify linkages and trends, and apply findings to operations.
Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s).
Work independently as well as collaboratively within a team environment to resolve problem.
Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred.
Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.
Minimum five (5) years management experience within the financial services industry.
~or~ 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

Manages Capital Markets & Advisory (“CMA”) Compliance’s core compliance program to ensure compliance processes and procedures are integrated, along with supporting reporting and dashboards, to ensure all is aligned with RJF Central Compliance.
Supports the CMA Business Unit Compliance teams to develop and maintain compliance programs, systems, policies, and procedures to ensure compliance with federal, state, and self-regulatory regulations.
Minimizes the firm’s risk exposure while balancing business concerns.
Maintains the required compliance processes for the division while fostering positive business relationships with department associates and business associates/affiliates.
May serve as a liaison between the organization and industry committees such as SIA, FSI, and the FINRA.
Reviews compliance controls and recommends appropriate changes, as required.
Supports CMA Compliance management in preparing the CMA Compliance Risk Assessment.
Collaborates with CMA Business Unit Compliance teams in the development and implementation of continuing education and training programs for the department in conjunction with management.
Maintains ad hoc training inventory and coordinates training with other compliance activities.
Functions as Project Manager for the CMA Business Unit Compliance teams, determining scope and objectives, managing project schedule and ensuring process and providing updates.
Serves as expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations.
May oversee compliance exception reporting processes and take appropriate action, as required.
Continually evaluates department structure and strategic plan, considering future growth as needed.
Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service.
May coach, train, and mentor other Compliance associates.
Ensures processes and procedures support efficient and timely workflow.
Performs other duties and responsibilities as assigned.