Senior Advisor, Regulatory Risk/Gap - PCG Compliance Training and Education

Job Summary

Under general supervision, uses knowledge and skills obtained through education, experience, and specialized training to support the Private Client Group (PCG) Compliance Training and Education (CTE) program. Facilitates PCG CTE processes, including providing support to training and education recipients. Provides feedback to PCG CTE Leadership regarding identified issues and program content. Participates in remediation efforts, when needed. Works collaboratively and independently on assignments. Maintains extensive contact with internal customers to identify, research, analyze and resolve issues **

Essential Duties And Responsibilities**

• Performs assigned tasks as needed to facilitate the compliance training and education program(s) for PCG.
• Routinely interacts with training and education recipients to resolve issues.
• Assists with the development of the compliance training and education programs, including maintaining training records and coordinating training with other compliance activities.
• Researches issues impacting the compliance training and education program.
• May be required to interact with cross-functional leadership in the remediation of compliance training and education issues.
• Recommends adjustments to existing compliance training and education programs, policies and procedures, as identified.
• Informs Compliance leadership about issues that may involve rule violations or potential liability.
• Supports fulfillment of compliance training and education program records requests.
• Supports creation of compliance training and education metrics and reporting.
• Maintains confidentiality of program records, as required by Enterprise Data Privacy and Protection and PCG Data Privacy policy requirements.
• Performs other duties and responsibilities as assigned.

Qualifications:

Knowledge, Skills, And Abilities

Knowledge of:

• Concepts, practices, and procedures of securities industry and/or banking compliance reviews.
• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.
• Fundamental investment concepts, practices and procedures used in the securities industry.
• Principles of banking and finance and securities industry operations.
• Financial markets and products.

Skill in:

• Overseeing compliance programs.
• Integrating and aligning compliance processes and procedures with business processes.
• Coordinating complex compliance activities.
• Providing support and guidance for compliance efforts.
• Identifying and implementing controls and quality assurance processes.
• Reviewing materials for compliance with rules and regulations.
• Researching compliance issues.
• Developing compliance training programs.
• Gathering information and preparing oral and written reports.
• Preparing and delivers written and oral presentations.
• Investigating relevant irregularities.
• Making rule-based and analytical decisions.
• 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 problems 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 securities and/or banking regulations and identify and recommends 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 currency in securities and/or banking industry rules and regulations and best practices in compliance.

Educational/Previous Experience Requirements

Education/Previous Experience

• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of three (3) years of experience in Compliance and/or the financial services industry.
• ~or~
• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None Required.
• Appropriate series license(s) for assigned functional area preferred.
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

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. **

Job :**

Compliance **

Primary Location :**

United States **

Organization :**

RJF Corporate **

Schedule :**

Full-time **

Shift :**

Day Job **

Travel :**

Yes, 20 % of the Time **

Salary Range: CO, NY, CA, WA (based on Education, Work Experience, and Geographic Location)**

80,000 - 85,000