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Job Summary

Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience in retirement plan and/or recordkeeper compliance to administer and manage ERISA and DOL compliance for the firm. Leads major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues.

Essential Duties and Responsibilities

+ Provides compliance support and assist building out a compliance program for NWPS, an affiliated recordkeeper, but will also assist in our held away retirement plan business through IFS and our held here retirement accounts (i.e., retirement plans, IRAs, etc.) through our Raymond James advisory programs.

+ Stays abreast of the regulatory landscape with the DOL and its potential impacts to Raymond James and potentially support any potential initiatives with the new Fiduciary Rule, if/when finalized.

+ Oversees compliance exception reporting processes and approves corrective actions.

+ May coach, train, and mentor other Compliance associates.

+ May assist with the development and implementation of continuing education and training programs for the department in conjunction with management.

+ Schedules and oversees compliance processes including scheduling, training, and review of compliance reporting.

+ Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements.

+ Monitors and reviews all reporting, audits, and correspondence.

+ Partner with business units to recommend policy and process changes to Senior Management.

+ Ensures effective coordination occurs within assigned work group and with other work groups.

+ Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.

+ Serves as a resource on compliance issues to clients and staff.

+ May serve as a compliance liaison on various committees and projects representing the interest of the department.

+ Attends and may deliver presentations at industry-related conferences.

+ Researches regulatory updates to identify linkages and trends and apply findings.

+ Performs periodic reporting on compliance and operational issues as required.

+ Balances conflicting resource and priority demands.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced knowledge of:

+ Concepts, practices, and procedures of securities industry and/or retirement plan compliance.

+ Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; the Department of Labor (DOL), including Employee Retirement Income Security Act (ERISA) law.

+ Investment concepts, practices and procedures used in the securities industry.

+ Principles of banking and finance and securities industry operations.

+ Financial markets and products.

Advanced 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.) and a minimum of eight (8) 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

+ None Required.

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