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Go Compliance Manager, PCG Training & Education - Req. 1902570 Description
Job Summary: Under general direction, uses extensive knowledge and skills obtained through education and experience in the securities industry to ensure Private Client Group (-PCGâ?) training and education programs are consistent with adopted policies and meets regulatory expectations. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with a high level of latitude for un-reviewed actions or decisions. Provides comprehensive solutions to very complex problems. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.
Essential Duties and Responsibilities: - Oversee the compliance training and education program(s) for PCG to ensure compliance content is aligned with compliance policies and procedures. - Coach, train and mentor less experienced Compliance Department associates. - May serve as a -team leadâ? for more junior Compliance Department associates. Reviews policies, procedures, and test findings produced by other compliance associates. - Direct adjustments to existing compliance training and education programs, policies and procedures, as required. - Ensure that compliance training and education content is commensurate with the level of risk being mitigated. - Provide escalated support and guidance to compliance training and education efforts in PCG. - Inform Senior Compliance Management about issues that may involve rule violations or potential liability with regard to compliance training and education. - Assist management to implement adequate controls and quality assurance processes to detect and address potential compliance problems with regard to compliance training and education. - Research compliance issues with regard to the compliance training and education program. - Develop compliance training and education programs, including maintaining training records and coordinating training with other compliance activities. - Report compliance training and education program status and activities to compliance and business management. - May make risk-based recommendations to Senior Management using extensive industry knowledge to review training and education content and requirements across the firm-s business lines. - Routinely interact with representatives of other functional areas. - Prepare and deliver written and oral presentations to management. - Perform other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities: Advanced knowledge of: - Concepts, practices and procedures of securities industry compliance. - Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies. - Fundamental investment concepts, practices and procedures used in the securities industry. - Principles of finance and securities industry operations. - Financial markets and products.
Skill in: - Overseeing compliance programs. - Integrating and aligning compliance processes and procedures with business processes. - Coordinating complex compliance activities. - Providing support and guidance for compliance efforts. - Identifying and implementing controls and quality assurance processes. - Reviewing materials for compliance with rules and regulations. - Researching compliance issues. - Developing compliance training programs. - Gathering information and preparing oral and written reports. - Preparing and delivering written and oral presentations. - Investigating compliance 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 regulations to identify and recommend compliance changes as appropriate. - Work under pressure on multiple tasks concurrently to 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 rules and regulations and best practices in compliance.
Educational/Previous Experience Requirements: - Bachelor-s Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in Compliance and/or the financial services industry. ~or~ - Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications: - 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.
Raymond James Guiding Behaviors
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
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About Raymond James Financial Incorporated
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