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Job Description

Job Summary

Under intermittent supervision and with high level of autonomy, uses extensive knowledge of financial industry marketing/advertising and skills obtained through education and experience in securities and/or the banking industry to ensure firm policies and procedures are up-to-date and commensurate with the level of risk being mitigated as it related to all communication activities. Resolves or recommends solutions to complex problems. Leads defined work or projects of moderate scope and complexity. Maintains extensive contact with internal customers to identify, research, and resolve problems.

Essential Duties and Responsibilities

+ Conducts review of communications, through the use of various reports and systems.

+ Monitors and keeps up to date with regulations regarding communications and applies them accordingly.

+ Coaches, trains, and mentors less experienced Compliance Specialists.

+ May serve as a “team lead” for more junior compliance associates including potentially assisting in the talent selection process. Reviews the policies, procedures, and test findings produced by other compliance associates.

+ Directs adjustments to existing programs, policies, and procedures, as required.

+ Ensures that compliance activities are commensurate with the level of risk being mitigated.

+ Provides escalated support and guidance to compliance efforts in assigned business entity.

+ Informs Senior Compliance Management about issues that may involve rule violations or potential liability.

+ Assists management to implement adequate controls and quality assurance processes to detect and address potential compliance problems.

+ Research compliance issues.

+ Develops and maintains compliance policies and procedures.

+ May make risk-based recommendations to Senior Management using extensive industry knowledge to review products, production, and asset value changes across the firm’s business lines.

+ Prepares and delivers written and oral presentations to management.

+ Performs other duties and responsibilities as assigned.

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:

+ Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.

+ Detail orientation to ensure the regulatory liability is limited, without impairing workflow.

+ Integrating and aligning compliance processes and procedures with business processes.

+ Coordinating complex compliance activities.

+ Providing support and guidance for compliance efforts.

+ Reviewing materials for compliance with rules and regulations.

+ Researching compliance issues.

+ Gathering information and preparing oral and written reports.

+ Preparing and delivering written and oral presentations.

+ Investigating relevant irregularities.

+ Making rule-based and analytical decisions.

+ Operating standard office equipment and using required software applications.

Ability to:

+ Provide training, coaching, and mentoring for 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.

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

+ Interpret and apply securities and/or banking regulations and identify and recommend compliance 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

+ Bachelor’s degree (B.A. /B.S.) and a minimum of six (6) years of experience in Compliance and/or the financial services industry preferred.

~or~

+ Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

+ SIE required provided that an exemption or grandfathering cannot be applied.

+ Series 7, 24, and 63 Required

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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