Description

This position will follow our hybrid work model; we expect the selected candidate to work 3 days a week in- office.

Department Overview:

Raymond James Financial is a diversified holding company in Florida headquartered in Saint Petersburg, FL. The company provides financial services to individuals, corporations, and municipalities through its subsidiary companies. These subsidiaries are primarily involved in investment and financial planning, as well as capital markets and asset management.

The Supervision department partners closely with the business to proactively mitigate risk. Our department supports business units by managing activity/account reviews, product oversight, escalation/approvals, and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the firm while preserving our culture and adhering to our core values of client first, conservatism, independence, and integrity.

Job Summary:

As a Manager within Supervision, you will operate under limited direction and with a high level of autonomy. Using your extensive knowledge and skills acquired through education, experience, specialized training, and/or certification in the securities industry, you will coordinate internal and external exams, audits, and tests for PCG Supervision. You will collaborate with IT and the Supervision Centers of Expertise to identify, review, and assess data-related requests for these exams. Maintaining regular communication with Supervision leadership, Compliance, Internal Audit, and other internal partners is crucial for identifying and producing relevant information, data, reports, and written responses. This ensures that production requests are accurate and delivered in a timely manner. Your role will also involve analyzing data requests to identify potential issues or trends and escalating them as necessary. Additionally, you will review and vet responses, documentation, and data with key stakeholders before submission to internal or external examiners.

Essential Duties and Responsibilities:

• Oversees internal and external exams, audits, test results, etc., on behalf of PCG Supervision.

• Interacts with key Supervision leadership, IT, and other units to ensure production requests are fulfilled in a timely manner.

• Engages with the Compliance Regulatory Exam Inquiries Management (REIM) team, Internal Audit, and Compliance Testing to identify production requests and provide those requests timely.

• Reviews production content to identify potential issues, gaps, etc., for resolution and clarity and escalates as needed.

• Assists in drafting responses to internal and external inquiries.

• Remains abreast of regulatory updates to identify linkages and trends.

• Tracks and performs periodic reporting on production requests and exams/tests/audits underway.

• Balances conflicting resource and priority demands.

• May coach, train, and mentor other associates.

• Performs other duties and responsibilities as assigned.

Qualifications

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.

• Proficiency in Microsoft Office products

• Advanced knowledge of Excel is required. (Lookups, Pivot Tables, Formulas, Macros, etc.)

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

• Principles of securities industry operations.

• Financial markets and products.

Skill in:

• Data analysis

• Fluent in Microsoft Office applications, such as Excel (Lookups, Pivot Tables, Formulas, Macros, etc.)

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

• Preparing oral and/or written reports.

• Investigating potential issues and irregularities.

• Strong verbal and written communication.

• Strong organizational skills

• Operating standard office equipment and using required software applications.

Ability to:

• 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.

• Organize, self-manage, and track multiple responsibilities.

• 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 in writing, with all organizational levels.

• Demonstrates self-motivation and the ability to 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 supervisory functions.

• Interpret and apply procedures and identify and recommend changes as appropriate.

• Formulate and implement 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 five (5) years of experience with regulators 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.

• No licenses are required, but S7, S66, and S24 are preferred.

Job: Compliance

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

Other Locations: US-MI-Southfield-Southfield, US-TN-Memphis-Memphis, US-CO-Denver-Denver

Organization Supervision

Schedule Full-time

Job Shift Day Job

Travel Yes, 20 % of the Time

Req ID: 2403556