Divisional Compliance Officer

Job Description

Job Summary

Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to ensure the tactical and strategic success of the firm's PCG Compliance program. Responsibilities include but are not limited to providing advice and guidance on industry rules, regulations, and firm policies, serving as a Subject Matter Expert on firm policies, reviewing prospective financial advisors and registered representatives prior to onboarding, providing compliance education to new and existing PCG branch associates, advising on third-party vendors, conducting various surveillance reviews, and training, coaching, and mentoring other Compliance associates.

Essential Duties and Responsibilities

• Provides advice and guidance on industry rules, regulations, and firm policies.

• Serves as a Subject Matter Expert on firm policies and ensures policies are reviewed and updated on a regular basis.

• Reviews prospective financial advisors and registered representatives prior to onboarding.

• Provides compliance training to new PCG branch associates.

• Delivers educational content to PCG branch associates via national and regional conferences, webinars, and newsletters.

• Advises on third-party vendors to ensure compliance with applicable industry rules, regulations, and firm policy.

• Conducts complex research and reports findings to Compliance, Legal, Regional Supervision, and Regional Management partners.

• Consults with other business units on compliance-related matters.

• Conducts various surveillance reviews.

• Works on ad hoc projects.

• Trains, coaches, and mentors other Compliance associates.

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.

• Retail and clearing firm operations.

• Financial markets and products.

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

Advanced Skill in:

• Operating independently

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

• Investigating compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

• Preparing oral and/or written reports.

• Project management skills and experience sufficient to successfully complete long and short-term projects.

• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

• Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Attend to detail while maintaining a big picture orientation.

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.

• Establish and communicate clear directions and priorities.

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

• Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s).

• Plan, assign, monitor, review, evaluate and lead the work of others, coach and mentor others.

• Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.

• Work independently as well as collaboratively within a team environment to resolve problem.

Education

Work Experience

Certifications

Travel

Workstyle

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

At 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.