Senior Advisor, Compliance - Associate Activities

Raymond James • Saint Petersburg, FL

8d • Hybrid

About The Position

Under general supervision, the Senior Advisor, Compliance uses extensive knowledge and skills gained through experience, specialized training, and/or certification in the securities and/or banking industry to help ensure compliance with applicable rules and regulations. The role coordinates compliance functions, guides compliance efforts, and serves as a liaison between functional areas and the enterprise. It leads large or multiple projects with significant scope and impact, works independently on difficult assignments requiring originality and ingenuity, and provides comprehensive solutions to complex problems. The role maintains extensive contact with internal customers to identify, research, analyze, and resolve complex issues.

The position oversees compliance activities for the Associate Activities program, including Outside Business Activities, Political Contributions, Gifts and Entertainment, Mandatory Absence, Outside Investment Account, and Corporate Charitable Contribution activities. It works across Compliance, Supervision, Risk, Human Resources, and other areas to monitor program activities, identify issues, support controls and quality assurance, and keep compliance procedures aligned with business processes.

The role requires knowledge of securities and/or banking compliance, applicable regulatory frameworks, investment concepts, financial markets, and industry operations. A bachelor’s degree and at least three years of experience in Compliance and/or financial services are preferred, or an equivalent combination of experience, education, and training approved by Human Resources. Additional licenses or certifications demonstrating knowledge of industry regulation and concepts are preferred; none are required. The workstyle is hybrid, and travel is less than 25%.

Requirements

• Knowledge of securities industry and/or banking compliance review concepts, practices, and procedures.
• Knowledge of applicable securities and banking rules and regulations, including those of the SEC, FINRA, state securities regulators, FDIC, OCC, FFIEC, OTS, Federal Reserve System, and state banking regulators.
• Knowledge of fundamental investment concepts and practices, banking and finance principles, securities industry operations, financial markets, and financial products.
• Skill in overseeing compliance programs and aligning compliance processes and procedures with business processes.
• Skill in coordinating complex compliance activities and providing support and guidance for compliance efforts.
• Skill in identifying and implementing controls and quality assurance processes, reviewing materials for regulatory compliance, and researching compliance issues.
• Skill in developing compliance training programs, gathering information, preparing reports and presentations, investigating irregularities, and making rule-based and analytical decisions.
• Ability to partner with functional areas, facilitate meetings, attend to detail while maintaining a broad perspective, gather information and identify trends, and interpret and apply regulations.
• Ability to manage multiple concurrent tasks and deadlines in a fast-paced environment with interruptions and changing priorities.
• Ability to communicate effectively orally and in writing with all organizational levels and to work independently and collaboratively.
• Ability to provide high-level customer service, establish effective working relationships, maintain confidentiality, and keep current with industry regulations and compliance practices.
• Bachelor’s degree (B.A./B.S.) and a minimum of three years of experience in Compliance and/or the financial services industry preferred; alternatively, an equivalent combination of experience, education, and/or training approved by Human Resources.
• None required for licenses or certifications.

Nice To Haves

• Bachelor’s degree (B.A./B.S.) and a minimum of three years of experience in Compliance and/or the financial services industry.
• Additional licenses or certifications demonstrating knowledge or expertise in industry regulation and concepts.

Responsibilities

• Execute processes and procedures for the Associate Activities program, including Outside Business Activities, Political Contributions, Gifts and Entertainment, Mandatory Absence, Outside Investment Account, and Corporate Charitable Contribution activities.
• Perform program activities including exception processing, monitoring first- and second-line activities, data analytics, violation identification, metrics creation, reporting, and program governance.
• Establish partnerships across Compliance, Supervision, Risk, Human Resources, and other areas.
• Identify and inform management about issues involving possible violations and potential liability that may require escalation.
• Assist management with implementing controls and quality assurance processes to detect and address potential compliance problems.
• Oversee an assigned conflicts compliance program and ensure its processes and procedures are integrated and aligned with business processes.
• Participate in and direct adjustments to existing programs, policies, and procedures related to associate activities.
• Research associate conflict-related issues and respond to inquiries about associate conflict systems and processes.
• Monitor exception and other internal reports.
• Address sensitive compliance issues with management.
• Participate in corporate policy discussions related to Associate Activities.
• Prepare and deliver written and oral presentations to management.
• Perform other duties and responsibilities as assigned.

Benefits

• Medical, dental, and vision coverage may be included in the benefits package.
• Life insurance, critical illness insurance, and accident insurance may be included.
• Disability benefits may be included.
• Retirement savings may be included.
• Paid time off, including vacation, holidays, and sick leave, may be included.
• Parental leave may be included.
• Additional compensation may include cash or equity, discretionary bonuses, or commissions.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior