Description

Job Summary

Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry to support the firm’s compliance monitoring program. Delivers comprehensive Compliance monitoring and testing program reports to Compliance Management and external stakeholders. Supports the oversight and governance for the compliance monitoring program, including overseeing complex reviews and large or multiple projects with significant scope and impact. Works collaboratively on challenging assignments that are broad in nature requiring originality and ingenuity. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities

• Collaborates across Compliance to maintain the risk-based compliance monitoring program in accordance with the regulatory obligations/requirements, internal program requirements, and expectations.

• Contributes to the delivery of the compliance monitoring program for compliance teams across the enterprise including input from and communication with the stakeholders frequently.

• Reviews the policies, procedures, support documentation, and monitoring findings produced by other compliance associates to ensure adherence to program requirements.

• Ensures that compliance activities are commensurate with the level of risk being mitigated.

• Provides escalated support and guidance to those performing compliance monitoring in accordance with the program requirements.

• Informs Senior Compliance Management about issues that may involve rule violations or potential liability.

• May perform reviews of compliance controls and recommend appropriate corrective actions for monitoring.

• Research compliance issues.

• Supports the development and maintenance of compliance monitoring procedures and program documents.

• Helps to develops compliance monitoring training programs and coordinating training with other compliance activities.

• Supports the development and maintenance of the inventory of assurance reports, including compliance testing and monitoring program status and results reporting to Compliance Management and external stakeholders.

• Aids in adjustments to existing programs, policies, and procedures, as required.

• Prepares and delivers written and oral presentations to management.

• Possess project management skills.

• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities

Knowledge of

• The compliance risk management processes.

• Applicable U.S. broker-dealer and registered investment advisor regulatory requirements and controls.

• 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.

• Section 404 of the Sarbanes-Oxley Act of 2002.

• Retail and clearing firm operations.

• Fundamental investment concepts, practices and procedures used in the securities industry.

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

Skill in:

• Administering regulatory notifications and filings.

• Planning and scheduling work to meet regulatory and organizational and regulatory requirements.

• Identifying and applying appropriate compliance monitoring procedures and tests.

• Preparing oral and/or written reports.

• Investigating compliance issues and irregularities.

• Making rule-based and analytical decisions.

• Operating standard office equipment and using required software applications.

Ability to:

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.

• Attention to detail while maintaining a big picture orientation.

• Gather information, identify linkages and trends, and apply findings to assignments.

• Interpret and apply internal policies and 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 current knowledge of securities and/or banking industry rules and regulations and best practices in compliance.

• Quantitatively and/or qualitatively process data.

Educational/Previous Experience Requirements

Education/Previous Experience

• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of three (3) 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

• None Required

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred

Job: Compliance

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Organization RJF Corporate

Schedule Full-time

Job Shift Day Job

Travel Yes, 5 % of the Time

Req ID: 2403591