- Saint Petersburg, Florida
Saint Petersburg, Florida
Advisor, Raymond James Bank Private Client Banking Compliance-2401658
Description
Job Summary
Under general supervision, uses specialized knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry compliance to ensure compliance with all securities and/or banking rules and regulations. May be responsible for coordinating compliance functions, developing training programs and ability to liaison between functional areas.
Essential Duties and Responsibilities
Assists in overseeing compliance program(s) for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes.
Adjusts existing programs, policies, and procedures, as directed.
Coordinates the activities of compliance personnel to ensure that compliance activities do not interfere unduly with business operations.
Provides support and guidance for compliance efforts in assigned business entity.
Assists management in implementing adequate controls and quality assurance processes to provide early identification of potential compliance problems.
Reviews advertising, disclosures, notices, compliance related regulatory reports and forms for compliance with rules and regulations.
Assists in researching compliance issues.
Assists in developing compliance training programs, including maintaining training records and coordinating training with other compliance activities.
Reports compliance program status and activities to compliance management.
Assists with external compliance examinations, including gathering requested information and reports.
Prepares and delivers written and oral presentations to business units.
Performs other duties and responsibilities as assigned.
Qualifications
Knowledge, Skills, and Abilities
Knowledge of
Concepts, practices, and procedures of the banking and financial services industries.
Concepts, practices and procedures of banking and financial services compliance.
Rules and regulations of the Federal Reserve Banking System (FRB) Consumer Financial Protection Bureau (CFPB) Federal Deposit Insurance Corporation (FDIC) Federal Financial Institutions Examination Council (FFIEC) Florida Office of Financial Regulation (OFR), and other state banking regulatory agencies.
Principles of banking and finance and securities industry operations.
Financial markets and products.
Skill in
Monitoring 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.
Ability to
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.
Bachelor's degree (B.A. /B.S.) and a minimum of two (2) years of experience in Compliance and/or the financial services industry.
Educational/Previous Experience Requirements
None Required.
Licenses/Certifications
Raymond James Guiding BehaviorsAt Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firms core values of client-first, integrity, independence and a conservative, long-term view.We expect our associates at all levels toAt Raymond James as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
Job
Compliance
Primary Location
US-FL-St. Petersburg-Saint Petersburg
Organization
RJ Bank
Schedule
Full-time
Shift
Day Job
Travel
Yes, 20 % of the TimeEligible for Discretionary BonusYes#LI-AM1