VP, Fixed Income Compliance

Raymond James•New York, NY

9d•Hybrid

About The Position

This role supports the Fixed Income business, specifically focusing on the newest affiliate, GreensLedge, an investment bank and asset manager known for its leadership in structured credit and securitization. The position offers the opportunity to be on the front lines of integrating GreensLedge into Raymond James, providing compliance advice during integration, and shaping and overseeing the integration and improvement of key compliance functions into the enterprise compliance program. The role involves collaborating with front office sales & trading, investment banking, and asset management, working with business leaders, risk, legal teams, and regulators to drive effective compliance programs. The role requires a leader with a strong foundation and experience with structured products from both broker-dealer and investment advisory regulatory perspectives, and values some international experience as applied to the GreensLedge business.

Requirements

Advanced knowledge of concepts, practices and procedures of securities industry compliance, specifically focused on structured products from both a broker-dealer and investment adviser perspective.
Advanced knowledge of rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.
Advanced knowledge of concepts, practices and procedures used in the securities industry.
Advanced knowledge of principles of finance and securities industry operations.
Advanced knowledge of financial markets and products.
Advanced skill in planning and scheduling work to meet regulatory organizational and regulatory requirements.
Advanced skill in identifying and applying appropriate compliance monitoring procedures and tests.
Advanced skill in preparing oral and/or written reports.
Advanced skill in investigating compliances issues and irregularities.
Advanced skill in making rule-based and analytical decisions.
Strong verbal and written communication skills.
Ability to operate standard office equipment and use required software applications.
Ability to partner with other functional areas to accomplish objectives.
Ability to facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
Ability to attend to detail while maintaining a big-picture orientation.
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 laws, rules and regulations related to compliance in assigned functional area.
Ability to interpret and apply policies and identify and recommend changes as appropriate.
Ability to quantitatively and/or qualitatively process data.
Ability to formulate and implement department strategies consistent with long-term company goals.
Ability to promote team cohesiveness, cooperation, and effectiveness.
Bachelor’s Degree (B.A./B.S.) in a related discipline required.
Minimum of twelve (12) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.
Minimum ten (10) years management experience within the financial services industry.

Nice To Haves

Master’s degree preferred.
Some international experience as applied to the GreensLedge business.
Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
Certified Anti-Money Laundering Specialist (ACAMS) NOT REQUIRED

Responsibilities

Serve as a subject matter expert on securities industry regulations and firm policies related to the GreensLedge businesses, ensuring adherence while enabling business growth.
Provide hands-on compliance guidance to GreensLedge.
Collaborate closely with front-office professionals to interpret regulations, apply firm policies, and support business objectives in real time.
Manage and enhance compliance processes, policies, and procedures to ensure adherence to regulatory requirements, as GreensLedge is integrated into the enterprise compliance program.
Lead compliance-related projects and change initiatives from inception through completion, including cross-department coordination.
Prepare presentations for business and compliance leadership.
Research and analyze new or updated regulations to assess impact, identify trends, and implement necessary changes.
Ensure compliance with regulatory requirements related to operations/middle office functions.
Identify, recommend and collaborate with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
Oversee exception reports, review corrective actions, and prepare compliance reports for management and regulators.
Serve as a compliance liaison on internal committees and represent the firm at industry conferences or regulatory forums.