Compliance Sr. Manager Fixed Income

Raymond James • Memphis, FL

4d • $110,000 - $120,000 • Hybrid

About The Position

Under intermittent supervision, extensive knowledge and skills obtained through education, experience, and/or specialized training to support the Compliance teams Fixed Income business. This role offers the opportunity to shape and oversee key compliance functions, contribute to firm-wide initiatives, and ensure that business activities align with regulatory standards and best practices. You’ll collaborate with front office Sales & Trading Desks, business leaders, legal teams, and regulators to drive effective compliance programs that safeguard the firm and support business objectives.

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.
• Concepts, practices and procedures used in the securities industry.
• Principles of finance and securities industry operations.
• Financial markets and products.
• Advanced Skill in: Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Identifying and applying appropriate compliance monitoring procedures and tests.
• Preparing oral and/or written reports.
• Investigating compliances issues and irregularities.
• Making rule-based and analytical decisions.
• Strong verbal and written communication.
• Operating standard office equipment and using required software applications.
• Ability to: 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.
• Promote team cohesiveness, cooperation, and effectiveness.
• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) 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

• Advisory & Support: Provide hands-on compliance guidance to Fixed Income Sales & Trading teams.
• Collaborate closely with front-office professionals to interpret regulations, apply firm policies, and support business objectives in real time. You will be heavily integrated with Sales & Trading and Middle Office teams.
• Program Oversight: Manage and enhance compliance processes, policies, and procedures to ensure adherence to regulatory requirements. Lead compliance-related projects and change initiatives from inception through completion, including cross-department coordination. Prepare presentations for business and compliance leadership.
• Regulatory Analysis: Research and analyze new or updated regulations to assess impact, identify trends, and implement necessary changes.
• Operational Review: Ensure compliance with regulatory reporting requirements, trade confirmations and other operations/ middle office functions.
• Process Enhancement: Identify, recommend and collaborate with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
• Monitoring & Reporting: Oversee exception reports, review corrective actions, and prepare compliance reports for management and regulators.
• Representation: Serve as a compliance liaison on internal committees and represent the firm at industry conferences or regulatory forums.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees