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Job Summary: Under general direction and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in banking or securities industry compliance to administer and manage an assigned compliance function. This includes managing a team to identify, monitor, and assess initial applicability of regulatory changes. Additionally, 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. End results are evaluated for achieving goals and objectives. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues.
Essential Duties and Responsibilities: - Establishes objectives and develops processes and procedures to identify and track banking related regulatory changes. - Performs human resources management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, as well as participating in interviewing and selecting staff. - Plans, assigns, monitors, reviews, evaluates and leads the work of others. - Coaches and mentors subordinates, identifies training needs, and recommends appropriate development programs. - Works in conjunction with management to develop and implement continuing education and training programs for the department. - Oversees compliance exception reporting processes and approves corrective actions. - Schedules and oversees audit processes, including scheduling, training and reviewing audit results. - Ensures effective coordination within assigned work group and with other work groups. - Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance systems. - Serves as a compliance liaison on various committees and projects that represent the department-s interest(s). - May attends and delivers presentations at industry conferences. - Researches regulatory updates to identify linkages, report trends and apply findings. - Periodically reports on compliance and operational issues. - 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 banking industry and/or securities industry compliance. - Rules and regulations of: Federal Reserve Board (FRB), Office of the Comptroller of the Currency - US Department of the Treasury (OCC, Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), state securities and banking regulatory agencies, Federal Deposit Insurance Corporation (FDIC), and the Federal Financial Institutions Examination Council (FFIEC). - Principles of banking, finance and securities industry operations. - Financial markets and products.
Advanced Skill in: - Administering regulatory notifications and filings. - Planning and scheduling work to meet regulatory organizational and regulatory requirements. - Identifying and determining applicability of regulatory changes - Preparing oral and/or written reports. - Investigating compliances issues and irregularities. - Making rule-based and analytical decisions. - Strong verbal and written communication.
Ability to: - Manage, 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.
Educational/Previous Experience Requirements: - Bachelor-s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) 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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