• Compliance Careers- All Levels

    Raymond James Financial, Inc. (St. Petersburg, FL)


    Key Responsibilities

    Depending on level and area of focus, responsibilities may include:

    + Supporting or leading compliance program development, implementation, and oversight across various business units.

    + Assisting in the alignment of compliance processes with central compliance standards and regulatory requirements

    + Conducting compliance exams, testing, monitoring, and reporting, and surveillance activities.

    + Participating in regulatory examinations and internal audits, including preparation and response coordination.

    + Collaborating with internal stakeholders including AML, Compliance, Risk, and Legal to identify and resolve compliance issues.

    + Contributing to the design and delivery of compliance training and continuing education programs.

    + Supporting automation and process improvement initiatives to enhance compliance efficiency.

    + Serving as a liaison for compliance-related committees, projects, and cross-functional initiatives.

    + Advising business units on regulatory changes and risk mitigation strategies.

    + Coaching and mentoring junior compliance staff (for mid-to-senior level roles).

    Qualifications

    Knowledge of:

    + Regulatory frameworks including SEC, FINRA, OCC, FDIC, FRB, FFIEC; CFPB and other relevant agencies.

    + Securities and/or banking industry operations and financial products.

    + Risk management principles and compliance monitoring techniques.

    Skills in:

    + Analytical thinking, researching and problem-solving compliance issues.

    + Effective communication—both written and verbal.

    + Project management and prioritization.

    + Microsoft Office Suite (Excel, PowerPoint, Word); familiarity with compliance systems/tools is a plus.

    Ability to:

    + Work independently and collaboratively in a fast-paced environment.

    + Prioritizing tasks while adapting to changing regulatory landscapes and business needs.

    + Establish and maintain effective working relationships at all organizational levels

    + Maintain confidentiality and exercise sound judgment.

    + Interpret and apply policies and recommend improvements.

     

    Ideal Candidate Profiles

    We are seeking candidates across the following levels:

    + **Entry-Level** : Professionals with 1–3 years of experience in compliance, risk, audit, or related fields.

    + **Mid-Level** : Professionals with 4–7 years of experience, capable of managing projects and mentoring junior staff.

    + **Senior-Level** : Experts with 8+ years of experience, strategic thinkers who can lead programs and influence compliance culture.

    Education & Experience

    + Bachelor’s Degree required.

    + Relevant experience in securities, banking, or financial services compliance.

    + Equivalent combinations of education, training, and experience may be considered.

    Licenses/Certifications

    + None required, though certifications such as CRCM, CAMS, or FINRA Series licenses are preferred.

    Location & Travel

    + Roles are based in St. Petersburg, Florida (Must be local or have the ability to relocate prior to start date).

    + Travel requirements vary by role and level.