United States
Manager, Compliance - Branch Exams-2401187
Description
Under administrative direction, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance or supervision to lead a team of geographically-dispersed branch examiners and integrate risk-based strategies into programs and processes. Leads projects with significant scope and impact. Provides comprehensive solutions to complex problems. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Maintains extensive contact with internal customers and compliance partners to identify, research, analyze, and resolve complex issues. Travel required with examiners to assess examiner performance and, on a limited basis, to conduct branch exams.
Job Summary
Monitors and reviews branch exams conducted by the PCG Branch Exam team.
Essential Duties and Responsibilities
Qualifications
Knowledge, Skills, and Abilities
Concepts, practices and procedures of securities industry compliance.
Advanced Knowledge of
Financial markets and products.
Advanced Skill in
Planning and scheduling work to meet regulatory organizational and regulatory requirements.
Supervise, coach and mentor others. Partner with other functional areas to accomplish objectives.
Ability to
Educational/Previous Experience Requirements
Bachelor's Degree (B.A.) in a related discipline and a minimum of six (6) years of experience in the financial services industry. Branch Audit/Examination experience is preferred
Licenses/Certifications
Series 7 and 24 or 9/10 required
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
United States
Organization
RJF Corporate
Schedule
Full-time
Shift
Day Job
Travel
Yes, 50 % of the TimeSalary Range CO, CA, DC, HI, IL, NJ, NY, WA (based on Education, Work Experience, and Geographic Location)100,000#LI-AM1