Job Description
Job Summary
Under Intermittent supervision, uses advanced knowledge and skills obtained through experience and training to supervise others to administer FINRA reporting processes for business locations, Forms BR, Forms U4 amendment filings; FA# and split FA# issuance and updates; state/jurisdiction registrations and examination requests; accounting and chargeback functions; and other duties as assigned. Resolves and/or recommends solutions for registrations-related issues. Maintains regular contact with internal stakeholders and regulatory agencies to identify, research and resolve registration-related inquiries and requirements.
Essential Duties and Responsibilities
Ensures Forms BR and Forms U4 amendments are prepared and submitted in accordance with SEC, FINRA, and state/jurisdiction requirements and federal and state securities laws.
Oversees FA# and split FA# issuance and ongoing updates process.
Oversees individual state/jurisdiction registrations and examination request processes
Reconciles Financial Industry Regulatory Authority (FINRA) annual renewal reports and charge backs.
Tracks National Futures Association (NFA) training requirements and provides to Compliance Training and Education (CTE) team for communication.
Develops, designs, and implements efficient, sustainable functional team processes to ensure efficient and timely workflows which align with regulatory requirements.
Periodically reports on work progress, project completions and additional ad-hoc reporting as needed.
Ensures effective coordination occurs within functional team and with other functional teams.
Performs human resources management activities including identifying associate performance issues, seeking guidance for remedial action, assessing associate performance, and interviewing and selecting staff, as needed.
Plans, assigns, monitors, reviews, evaluates and leads the work of others.
Coaches and mentors subordinates, identifies training needs and recommends development programs.
Performs other duties and responsibilities as assigned
Knowledge, Skills, and Abilities
Knowledge of:
Firm policies and functional team procedures.
Accounting and chargeback procedures.
Advanced concepts, principles and practices of individual agency and advisory registrations.
FINRA, SEC, NFA and state/jurisdiction rules and regulations.
Fundamental investment concepts, practices and procedures utilized in the securities industry.
Principles of securities industry operations.
Financial markets and products.
Skill in:
Interviewing and selecting staff.
Planning, assigning, monitoring, reviewing, evaluating, and supervising the work of others.
Coaching and mentoring subordinates.
Identifying training needs.
Developing efficient workflow processes and procedures.
Preparing complex forms and processing and tracking large volumes of documents.
Responding to and resolving escalated inquiries and issues.
Performing accounting functions.
Operating standard office equipment and using required software applications.
Ability to:
Lead the work of others and provide training in registration policies and procedures.
Coach and mentor others.
Establish and maintain effective coordination within work group and with other work groups.
Attend to detail while maintaining a big picture orientation.
Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
Read, interpret, analyze, and apply information from regulatory agencies.
Influence, motivate and persuade others to achieve desired outcomes.
Interpret and apply policies.
Manage multiple tasks with changing priorities to meet deadlines in a fast-paced environment with frequent interruptions.
Communicate effectively, both orally and in writing.
Support others in working independently and/or collaboratively within a team environment.
Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner.
Maintain confidentiality.
Establish and maintain effective working relationships at all levels of the organization.
Maintain currency in FINRA, SEC, NFA, state Blue Sky laws and other regulatory agency rules and regulations regarding investment advisor, broker dealer and branch office registration.
Educational/Previous Experience Requirements
Bachelor's Degree (B.S.) and a minimum of six (6) years of relevant work experience in the securities industry with an emphasis on Compliance.
~or~
Any equivalent combination of education, training and/or experience approved by Human Resources.
Licenses/Certifications
SIE exam preferred within six (6) months of employment
~and~
Series 7 Top Off exam preferred within six (6) months of employment.
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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