"Alerted.org

Essential Duties and Responsibilities

• Serves as a member of the Supervision team in assisting to ensure proper goals and initiatives to achieve strategic supervision program for Fixed Income Sales.

• Collects and reviews internal and external market data to ensure compliance with Raymond James trading policies, FINRA requirements and SEC regulations.

• Performs surveillance reviews to identify trading, reporting and related exceptions, and uses industry experience to disposition or escalate accordingly.

• Identifies problems and recommends sensible solutions and remediation. Conducts follow-ups on corrections regarding areas of Supervision or any potential non-compliance in business areas.

• Monitors and keeps up to date with regulations regarding client trades and applies them accordingly.

• Oversees Supervision exception reporting processes and determines any corrective actions.

• Helps to ensure department has complete and accurate Written Supervisory Procedures per FINRA Rule 3110.

• Establishes objectives and develops processes and procedures to ensure adherence to all compliance requirements.

• Prepares supervisory reports and ensures they align with Firm policies, practices, and procedures.

• Develop strong relationships with Control partners across the organization including the FI Business Unit Risk Manager, Compliance, Legal, Operations and Risk Management departments.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Securities trading, Rules and regulations of the Securities Exchange Commission (SEC), and Financial Industry Regulatory Authority (FINRA)

• Detailed knowledge of securities supervisory concepts, FINRA Rule 3110 and how it relates to Firm policy and practice.

• Proficient in, and understands the regulatory responsibilities of FI Institutional Sales

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

Skill in:

• High order reasoning and decision-making, involving the interpretation of regulatory rules and compliance policies.

• Understanding regulatory rules and regulations and applying to practical and active trading, reporting and processes.

• Managing multiple, different relationships effectively

• Analytical skill to interpret trends and changes in trading activity.

Ability to:

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

• Independently manage multiple projects and tasks,

• Read, interpret, test and analyze data to understand transaction information is complete and within regulatory guidelines.

• Ensure effective coordination between assigned area and other functional areas.

• Ability to develop compelling analytical reporting and presentations.

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

• Independently manage multiple projects and tasks, while balancing conflicting resources and priority demands.

• Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels

Education/Previous Experience

• Bachelor’s degree (B.A) in related discipline and ten (10) years of experience in Supervisory/regulatory functions in the financial services industry. Bachelor’s degree (B.A/B.S.) in a related discipline and minimum of eight (8) years of experience in Supervision and/or the financial services industry.

• Relevant regulatory experience, FINRA or SEC. ~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.

• FINRA Series 7, 24, and 9/10 licenses

**Travel Required:** Yes, 20 % of the Time