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Go Compliance Quality Assurance Senior Manager - Req. 1903055 Description
Job Summary: As a member of the Compliance Assurance team, this role is responsible for supporting Raymond James Compliance Quality Assurance program. Using knowledge and skills in compliance and financial services obtained through education and experience, which may include securities and /or compliance certifications. The Senior Manager of Compliance Quality Assurance will work closely with the Director of Compliance Quality Assurance and other Compliance leaders to execute and maintain the implementation of a quality assurance program to verify that Compliance is adhering to its own internal compliance standards. Quality assurance results are informative in the identification of compliance risk management process improvements and training opportunities.
This role requires knowledge of compliance risk management processes and applicable U.S. broker-dealer and registered investment adviser regulatory requirements and controls. The successful candidate will already have experience in a compliance testing/monitoring and/or quality assurance program and one or more elements of a compliance risk management framework and leads compliance projects, programs or processes with significant compliance and business impacts. Opportunity to work closely with senior members of Compliance and business management in a compliance risk management capacity. Perform quality assurance reviews and reporting of results for impactful process recommendations. Completes complex reviews with close engagement of Compliance management.
This position reports to the Quality Assurance Director of Raymond James Compliance Assurance and will be based in St. Petersburg, FL.
Essential Duties and Responsibilities: - Share industry best practices and provide insights to enhance various compliance standards and methodologies including risk assessment, testing, monitoring, compliance policy management, and others. - Collaborate across the Compliance team to contribute to compliance process improvements. - Perform quality assurance reviews, use results to drive lessons learned and methodology/standard improvements. - Assist in the preparation and submission of results in response to regulatory request. - Provide subject matter expertise on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations including FINRA and SEC requirements. - Fostering positive relationships across the various Compliance teams and the firm as required. - May coach, train and mentor other Compliance associates. - Schedules and report on compliance activities; lead QA results discussions. - Ensures effective coordination occurs within assigned work group and with other work groups. - Identifies, recommends and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems. - May serve as a compliance liaison on various committees and projects representing the interest of the department. - Stay abreast of regulatory updates and industry changes to identify linkages and trends and apply results. - Performs periodic reporting on compliance and operational issues as required. - 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 securities industry and/or banking compliance. - 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. - Investment concepts, practices and procedures used in the securities industry.
Skill in: - Planning and executing work to meet regulatory organizational and regulatory requirements. - Identifying and applying appropriate compliance monitoring procedures and tests. - Preparing oral and/or written reports. - Investigating compliances issues and irregularities. - Making rule-based and analytical decisions. - Strong verbal and written communication. - Operating standard office equipment and using required software applications.
Ability to: - Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. - Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed. - Attend to detail while maintaining a big picture orientation. - 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. - Promote team cohesiveness, cooperation, and effectiveness.
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, Audit, Banking and/or regulatory experience in 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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