Sr. Advisor, Compliance
Raymond James Financial, Inc.
St. Petersburg, Florida, US
1d ago
  • Researches compliance issues.
  • Alerts Senior Management of current regulatory issues.
  • Researches, interprets and translates regulatory rules and regulations for Senior Management.
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  • Monitors exception and other internal reports for employee adherence with rules and regulations.
  • Advises Senior Compliance Management on issues that involve possible rule violations and potential liability.
  • Addresses sensitive compliance issues with Management in assigned functional area.
  • Participates in corporate policy discussions related to compliance.
  • Reviews documentation related to compliance issues for validity and alignment with organizational policies.
  • Prepares and delivers written and oral presentations to senior management.
  • May coordinate and / or oversee responses to regulatory agency inquiries.
  • Develops compliance training programs in conjunction with other compliance activities, as well as maintains training records.
  • Reports compliance program status and activities to compliance and business management personnel.
  • Manages relevant external examinations, ensuring that requested information and reports are provided.
  • Prepares and delivers written and oral presentations to Management.
  • Performs other duties and responsibilities as assigned.
  • Qualifications

    Knowledge, Skills, and Abilities :

    Knowledge, Skills, and Abilities

    Advanced knowledge of : Advanced knowledge of

    Advanced 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 : Skill in

    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 : Ability to

    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 :

    Educational / Previous Experience Requirements

  • 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. Law degree preferred.
  • Any equivalent combination of experience, education, and / or training approved by Human Resources.
  • Licenses / Certifications :

    Licenses / Certifications

  • Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
  • Additional licenses / certifications demonstrating the candidate’s knowledge / expertise in industry regulation and concepts preferred.
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