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Senior Manager Compliance

Raymond James Financial

This is a Full-time position in Saint Petersburg, FL posted May 2, 2021.

Job Summary:

Under administrative direction, uses extensive knowledge and skills obtained through education and experience in the financial services industry to manage and support the RJF bank holding company and subsidiary compliance programs.  Applies advanced knowledge of banking, capital markets, and asset management products and services to apply applicable regulatory requirements and perform compliance risk assessments, develop and execute compliance monitoring routines, design and conduct risk-based compliance testing, and develop compliance training.  Leads major projects or processes with significant business impact that may involve cross-functional teams.  Works independently and in coordination with others on difficult assignments.  Provides comprehensive, practical solutions to complex issues.

Results are evaluated at agreed upon milestones for effectiveness in achieving specified results.

Maintains extensive contact with internal stakeholders, industry peers, and regulatory agencies to identify, research, analyze and resolve complex issues. 

Essential Duties and Responsibilities:Coach and mentor less experienced Compliance associates.Provide subject matter expertise on compliance issues by maintaining proficient knowledge of compliance statutory regulations and interpretations of the Federal Reserve System, state banking agencies, and the Securities and Exchange Commission, as applicable to firm products and services. Plan, execute, monitor, review, and evaluate compliance activities independently, in coordination with, or through oversight of others.Conduct compliance risk assessments, develop and execute compliance monitoring routines, design and conduct risk-based compliance testing, and develop compliance training.Evaluate, draft, and advise on the development of compliance-related policies. Assist management in designing and implementing practical controls and quality assurance processes to provide early identification and prevention of potential compliance exceptions.Provide escalated support and guidance to compliance efforts in assigned areas. Research, interpret, translate, and apply regulatory rules and regulations to firm products and services.Review documentation related to compliance issues for validity and alignment with organizational policies.Prepare and deliver written and oral presentations to varied audiences.Author, edit, and review reports of compliance testing, monitoring, or other analytical assessments. Performs other duties and responsibilities as assigned.

Qualifications Knowledge, Skills, and Abilities:

Advanced knowledge of:Rules and regulations of the Federal Reserve System, state banking agencies, and the Securities and Exchange Commission.  Banking, capital markets, and asset management products and services.Principles of banking and financial services industry operations. 

Skill in:Executing and overseeing compliance programs. Integrating and aligning compliance processes and procedures with business processes.Coordinating complex compliance activities.Making rule-based and analytical decisions.Gathering information and preparing oral and written reports.Preparing and delivering written and oral presentations to varied audiences.  Identifying and evaluating controls and quality assurance processes. Reviewing materials for compliance with rules and regulations.Providing support and guidance for compliance efforts. Researching compliance issues.Recognizing and investigating relevant irregularities.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 issues are addressed.Attend to detail while maintaining a big picture orientation.Gather information, identify linkages and trends, and apply findings to assignments.Interpret and apply banking regulations and identify and recommend policy and procedural changes as appropriate.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.Provide a high level of customer service.Establish and maintain effective working relationships at all levels of the organization.Maintain confidentiality.Maintain high level of proficiency in banking and financial services industry rules and regulations and leading practices in compliance risk management.

Educational/Previous Experience Requirements:Bachelor’s degree (B.A.

/B.S.) and a minimum of eight (8) years of experience in a Compliance, Legal, or Internal Audit role in the financial services industryJuris Doctor is preferred.                                                                    ~or~An equivalent combination of experience and education approved by Human Resources. 

Licenses/Certifications: Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.