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Job Description

Job Summary

Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to ensure the tactical and strategic success of the firm’s PCG Compliance program. Responsibilities include but are not limited to providing advice and guidance on industry rules, regulations, and firm policies, providing compliance education to new and existing PCG branch associates, reviewing prospective financial advisors and registered representative prior to onboarding, performing analysis and review of third-party vendors, conducting various surveillance reviews, and working on ad hoc projects.

Essential Duties and Responsibilities

+ Act as a resource for branch and other Firm personnel providing advice and guidance on industry rules, regulations, and firm policies.

+ Participate in the development and enhancement of Firm policies and procedures.

+ Participate on division/regional calls and or meetings with business partners for the purpose of disseminating relevant compliance-related information.

+ Conduct and/or participate with investigations.

+ Reviews prospective financial advisors and registered representatives prior to onboarding.

+ Provides compliance training to new PCG branch associates.

+ Delivers educational content to PCG branch associates via webinars, and newsletters.

+ Provides analysis and review of third-party vendors.

+ Conducts complex research and reports findings to Compliance, Legal, Regional Supervision, and Regional Management partners.

+ Consults with other business units on compliance-related matters.

+ Conducts various surveillance reviews.

+ Works on ad hoc projects.

Knowledge, Skills, and Abilities

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:

+ Administering regulatory notification and filings.

+ Planning and scheduling work to meet regulatory organizational and regulatory requirements.

+ Identifying and applying appropriate compliance monitoring procedures and tests.

+ Preparing oral and/or written reports.

+ Investigating compliances issues and irregularities.

+ Making rule-based and analytical decisions.

+ Strong verbal and written communication.

+ Operating standard office equipment and using required software applications.

Ability to:

+ 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.

+ 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.

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

+ Maintain confidentiality.

+ Maintain currency in laws, rules and regulations related to compliance in assigned functional area.

+ Interpret and apply policies and identify and recommend changes as appropriate.

+ Quantitatively and/or qualitatively process data.

+ Formulate and implement department strategies consistent with long-term company goals.

+ Promote team cohesiveness, cooperation, and effectiveness.

Educational/Previous Experience Requirements

+ Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) 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.

+ Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Education

Work Experience

Certifications

Other License Not Listed - Other

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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