Job Description Summary

Uses extensive knowledge and skills obtained through education and experience to manage and oversee the operation of all compliance functions for a specific division/department of Raymond James and Associates. Manages the RIA specific Compliance program for Clark Capital Management Group. Leads major projects, programs or processes with significant business impact involving cross-functional teams. Works with members of the Portfolio Management, Client Relationships, Risk, Legal and business leadership teams to develop tactical plans for compliance initiatives. Works directly with Compliance Departments of institutional clients and various Boards of Directors. Completes complex assignments with substantial latitude for autonomous actions or decisions. Provides comprehensive solutions to complex problems or needs. End results are evaluated for achieving goals and objectives. Maintains extensive contact with various business units and departments of Raymond James Investment Management and its subsidiaries to perform the functions of this job.

Job Description

Essential Duties and Responsibilities

• Manages affiliate specific compliance programs, conducts activity and exception review, continuing education programs, as well as complaint review and response.
• Identifies and manages regulatory risks associated with specific division and/or department assigned.
• Develops, reviews, and adjusts the department’s supervisory procedures to adapt to changing regulatory and business environments.
• Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded.
• Leads and manages all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure).
• Develops and sponsors tactics to achieve strategic objectives across functional groups or within a business group.
• Establishes objectives and develops processes and procedures to ensure efficient and timely workflow.
• Serves as a member of the leadership team in developing short- and long-term goals and initiatives to achieve strategic vision for the compliance department.
• Represents Compliance on major firm level projects and/or initiatives.
• Works with peers within RJIM Compliance program to provide guidance and support on the work of subordinate supervisors.
• Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs.
• Develops systems and procedures to minimize the firm’s risk exposure while balancing business concerns. 
• Maintains the required compliance systems for the firm while fostering a positive relationship with department employees and management.
• Responds to and oversees responses to regulatory inquiries.
• Manages compliance exams of the firm by various regulatory bodies.
• Performs other duties and responsibilities as assigned.

Advanced knowledge of:

• Compliance and legal procedures in the financial services industry.
• Concepts, practices, and procedures of the financial services industry.
• Retail and clearing firm operations.

Advanced skill in:

• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.
• Organizational and time management skills sufficient to handle multiple priorities in a fast paced and ever-changing environment.
• Project management skills and experience sufficient to successfully complete long and short-term projects.
• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

• Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.
• Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others.
• Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
• Partner with other functional areas to accomplish objectives.
• Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives.
• Work independently as well as collaboratively within a team environment.

***ACAMS NOT REQUIRED***

Education

Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Data Processing

Work Experience

General Experience - More than 15 years, Manager Experience - 10 to 15 years

Certifications

Certified Anti-Money Laundering Specialist (ACAMS) - Association of Certified Anti-Money Laundering Specialists (ACAMS)

Travel

Less than 25%

Workstyle

Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

 

 

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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