Conduct Compliance Senior Manager

Raymond James•St Petersburg, FL

22h•Hybrid

About The Position

Under intermittent supervision and with a high level of autonomy, extensive knowledge and skills obtained through education, experience, specialized training and/or certification in the securities or banking industry compliance to administer and manage associate Conduct compliance functions. Works at the enterprise level to lead major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers to identify, research, analyze, and resolve complex issues.

Requirements

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.
Administering regulatory notification and filings.
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.
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.
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.
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

Supports enterprises-wide compliance programs related to associate conduct.
Develops inventory of established controls, escalation processes, supervision partners, monitoring used to identify compliance policy/program violations.
Evaluates facts and circumstances to determine compliance policy/program violation severity and develop suggested compliance guidance.
Communications directly via multiple methods to inform managers and business leaders of compliance policy/program violations and recommended disciplinary guidance.
Executes directed compliance policy/program violation discipline guidance, inputs data into tracking mechanisms and completes documentation.
Aggregate and analyze data to produce quarterly metrics and reporting.
Maintain consistent disciplinary guidance with existing PCG supervisory guidance.
Prioritizes multiple tasks at varying stages of the compliance policy/programs violation process, as well as ensures effective coordination of tasks within assigned work group.
Develops and maintains formal documentation of processes, desktop procedures, and compliance policies.
May make risk-based recommendations to Senior Management using extensive industry knowledge to review associate conduct across the firm’s business lines.
Directs adjustments to existing programs, policies, and procedures, as required.
Informs Senior Compliance Management about issues that may involve compliance policy/program violations and/or potential disciplinary guidance.
Assists management to implement adequate controls to detect and address potential compliance problems.
Identifies and recommends solutions to utilize AI, automate, and streamline functions to improve the operational efficiency of compliance systems.
Research regulatory matters to identify linkages, report trends and apply findings.
Prepares and delivers written and oral presentations to management.
Performs other duties and responsibilities as assigned.