Job Description
Job Summary
Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and manage an assigned compliance function. Works within a specified Business Unit 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 and may require occasional contact with internal audit control or industry regulators to identify, research, analyze, and resolve complex issues.
Essential Duties and Responsibilities
Builds and maintains Compliance Surveillance controls for multiple Compliance & Risk units.
Design and build custom dashboards, builds data models for integration amongst disparate data sources, QA/Test to ensure validity and transparency of source data.
Collaborates with Compliance Leaders as well as other group leaders to ensure legitimacy and correctness of data sources
Evaluates scope and selects technology components for database management systems and application database design for Compliance.
Participate in both data design and data processing sessions for assigned projects and teams.
Evaluate the content, accuracy and completeness of data models and file specifications
May coach, train, and mentor others Compliance associates.
Ensures effective coordination occurs within assigned work group and with other work groups.
Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies.
Performs periodic reporting on compliance and operational issues as required.
Balances conflicting resource and priority demands.
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities
Advanced Knowledge of:
Qlik, AWS Redshift, SQL, Oracle, Excel
Concepts, practices, and procedures of securities industry and/or banking compliance reviews.
Fundamental investment concepts, practices and procedures used in the securities industry.
Principles of banking and finance and securities industry operations.
Financial markets and products.
Advanced Skill in:
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:
Coach and mentor others.
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.
Educational/Previous Experience Requirements
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.
~or~
Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
None Required.
Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.
Education
Work Experience
Certifications
Travel
Less than 25%
Workstyle
Hybrid
At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
We expect our associates at all levels to:
Grow professionally and inspire others to do the same
Work with and through others to achieve desired outcomes
Make prompt, pragmatic choices and act with the client in mind
Take ownership and hold themselves and others accountable for delivering results that matter
Contribute to the continuous evolution of the firm
At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
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