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Go Compliance Monitoring Manager - Req. 1902638 Description
Under very limited direction, uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to ensure firm policies and procedures are up-to-date and commensurate with the level of risk being mitigated. Leads large or multiple projects with very 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 very complex issues.
Essential Duties and Responsibilities:
Manages the delivery of the enterprise-wide Compliance Monitoring plan for specified compliance teams with a high degree of collaboration, including input from and communication with senior compliance management and their delegates on a frequent basis and assist with internal audit and regulatory inquiries.
Provides subject matter expertise, including training, to compliance teams on compliance monitoring documentation, conclusions, and impacts to the compliance risk profiles.
Accountable for reporting of both the status and results of enterprise Compliance Monitoring plan and prepares governance reporting for BUCCOs and quarterly Compliance Risk and Ethics Committee.
Provides viable bench strength to not only Compliance Monitoring, but also the additional Compliance Assurance functions including Compliance Risk Assessments and Testing.
Maintains a proven record of experience in Compliance Testing and Monitoring that translates into a shorter learning curve and a more valued contributor in managing execution and delivery through a virtual team.
Capable of administratively managing people.
Routinely interacts with senior management from Compliance and the Business.
Prepares and delivers written and oral presentations to management.
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
Advanced knowledge of:
- Concepts, practices and procedures of securities industry and/or banking compliance reviews.
- 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); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.
- Fundamental investment concepts, practices and procedures used in the securities industry.
- Principles of banking and finance and securities industry operations.
- Financial markets and products.
- 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 delivers written and oral presentations.
- Investigating compliance irregularities.
- Making rule-based and analytical decisions.
- Operating standard office equipment and using required software applications.
- 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 and/or banking regulations and identify and recommend compliance changes as appropriate.
- 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.
- 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 and/or banking industry 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.
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
- 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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