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Job Description Summary

Conduct internal reviews to ensure compliance with regulatory requirements and internal policies, and develop and implement compliance policies in liaison with regulators. Assess and report on compliance risks, investigate incidents and take action to ensure compliance. Has knowledge of government laws and regulations affecting the company's business area, and ability to interpret laws and regulations in light of operations. Ensures all external regulatory frameworks are complied with within reasonable risk and cost parameters.

Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry to mitigate regulatory, litigation and reputation risk to the firm as it relates to addressing client grievances and regulatory inquiries. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity and provides comprehensive solutions to complex problems.

Job Description

Job Summary

Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry to mitigate regulatory, litigation and reputation risk to the firm as it relates to addressing client grievances and regulatory inquiries. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity and provides comprehensive solutions to complex problems.

Essential Duties and Responsibilities

+ Pro-actively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to various supervision activities.

+ Investigates client concerns and grievances through the use of various systems and reports.

+ Acts as liaison between department and Divisional Management, Sales & Supervision and other parties to communicate identified concerns requiring consideration.

+ Contributes and leads discussions to determine the Firm’s regulatory obligations regarding U4 amendments and settlement reporting.

+ Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.

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

+ Coaches and mentors less experienced associates.

+ Prepares and delivers written and oral presentations to Management.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of

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

+ General office practices, procedures, and methods.

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

+ Principles of banking, finance, and securities industry operations

+ 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) sufficient to perform the functions of this job.

Skill in

+ Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

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

+ Utilizing business-appropriate phone manners.

Ability to

+ Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.

+ Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.

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

+ Work effectively with Financial Advisors as their sales supervisor and enforce company policies and procedures as necessary.

+ Establish and communicate clear directions and priorities.

+ Provide a high level of customer service.

Educational/Previous Experience Requirements

Education/Previous Experience

+ Bachelor’s degree (B.A) in a related discipline and a minimum of three (3) years of experience in Supervision and/or the financial services industry.

+ OR ~

+ An equivalent combination of experience, education, and/or training.

Licenses/Certifications

+ Series 7 Required, Series 9/10 or 24 license preferred

+ 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.

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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