Job Description Summary

Manages a team of compliance and audit officers and specialists to conducts internal audits in order to ensure compliance with outside regulatory requirements and internal policies.

Job Description

Essential Duties and Responsibilities:

• Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; identifying training needs, evaluating performance; and interviewing and selecting staff.

• Coaches and mentors subordinates, identifies training needs and recommends development programs.

• Plans, assigns, monitors, reviews, evaluates and leads the work of associates.

• Reviews progress of assignments with senior management.

• Ensures all written customer complaints are acknowledged and responded to in writing.

• Provides guidance, support and best practices in sensitive situations involving potential complaints to branch associates and key stakeholders.

• Makes determinations of the Firm’s regulatory obligations regarding U4 amendments and 4530 complaint and settlement reporting.

• Delivers difficult messages regarding U4 reporting to branch managers and financial advisors.

• Makes decisions on settlement recommendations and referrals to business partners while considering liability, client fairness and regulatory risks.

• Oversee multiple exams and requests from regulators and internal audit.

• De-escalate situations with branch associates and division management.

• Interprets, applies and recommends changes to organizational policies and procedures.

• Establishes objectives and developing processes and procedures to ensure adherence to all compliance requirements.

• Balances conflicting resource and priority demands.

• Ensures effective coordination occurs between assigned Supervision function

• Uses financial data and performance indicators to propose and/or assist with establishing control mechanisms and other improvement initiatives. Identifies trends and assists with implementing corrective action as necessary.

• May deliver presentations at industry-related conferences.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Advanced knowledge of investment concepts and strategies.

• Reg BI standards. 

• Industry accepted best practices for advisory business.

• Industry accepted general handling of client complaints.

• Concepts, practices and procedures of securities industry and/or banking compliance; including suitability and other compliance/supervisory issues involved with retail activity.

• 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.

• Company’s working structure, policies, mission, and strategies.

• General office practices, procedures, and methods.

• 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:

• Leading, managing, supervising, and motivating team members.

• Holding a team and individuals accountable to meet service level agreements and project deadlines.

• Writing and editing written communication.

• Creating and delivering PowerPoint presentations.

• Effectively establishing relationships and communicating with all levels of management.

• Attracting, developing, and retaining talent. 

• Multi-tasking on various projects.

Ability to:

• Plan, assign, monitor, review, evaluate and supervise the work of others.

• Manage, 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.

• Balance conflicting resource and priority demands.

• Gather information, identify linkages and trends and apply findings to assignments.

• Handles stressful situations and provide a high level of customer service in a calm and professional manner.

• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities

• Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

• Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.

• Establish and maintain effective working relationships at all levels of the organization.

• Maintain confidentiality.

• Maintain currency in assigned area of responsibility.

Educational/Previous Experience Requirements

Education/Previous Experience:

• Bachelor’s degree (B.A/B.S.) in a related discipline and minimum of eight (8) years of experience in Supervision and/or the financial services industry.

• OR ~

• Any equivalent combination of experience, education, and/or training.

Licenses/Certifications:

• Series 7 and 24 licenses for assigned functional area preferred or the ability to obtain within six months.

• 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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