What are the responsibilities and job description for the Senior Advisor, GEIB Compliance position at Raymond James Financial, Inc.?

Job Description

Job Summary

Under general direction, uses knowledge and skills obtained through education, experience, specialized training and / or certification in securities industry compliance to support the design, implementation and supervision of a comprehensive compliance program with focus on Equity Research and Investment Banking matters. Offers broad exposure across all business lines, playing a key role in developing and executing various aspects of the Compliance program. Supports strategic direction, formulates tactical plans, and manages assignments with a high degree of autonomy while ensuring timely and thorough reporting and issue escalation.

Essential Duties and Responsibilities

Contributes to the development and maintenance of compliance programs, systems, policies, and procedures to ensure compliance with applicable regulations.
Contributes to the design, implementation and execution of a comprehensive risk-based monitoring and testing program across all applicable policies and procedures.
Provision of both written and oral advice to a broad range of stakeholders by applying subject matter expertise, identifying risk considerations as appropriate.
Involvement in risk reviews, audits, examinations, due diligence, and regulatory change processes.
Fostering positive business relationships with stakeholders across the firm.
Preparation of reports, presentations, and regulatory submissions
Provision of training to coverage areas as required
Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of :

Concepts, practices, and procedures of securities industry compliance, including three-lines of defense model, information barriers, and the management of conflicts of interest.

Relevant rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA) specifically Rules 5100, 2241, 2210, 3110, 1220, Securities Act - Section 5, SEC Rules 138 / 139, Reg AC, Reg M.

Financial markets and products, in particular research products and investment banking transactions structures and processes.

Skill in :

Assimilating information and identifying relevant considerations for analysis.

Determining and applying relevant regulation, policies and procedures to ascertain obligations.

Provision of accurate and timely advice to stakeholders.

Conducting inquiries and investigations.

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

Preparing both oral and written reports, presentations, and regulatory submissions.

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.

Communicate effectively and professionally, both orally and in writing, with all organizational levels.

Establish and communicate clear directions and priorities.

Recognize when issues need escalated.

Continue to develop both technical skills and subject matter expertise through training.

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

Education

Bachelor's

Work Experience

General Experience - 3 to 6 years

Certifications

Other License Not Listed - Other

Salary Range

80,000.00-$90000.00

Travel

Less than 25%

Workstyle

Hybrid

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.

LI-AF1

Salary : $80,000 - $90,000

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Senior Advisor, GEIB Compliance

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