Internal ID: 1702722
Under administrative direction, uses extensive knowledge and skills obtained through education, experience specialized training and/or certification in the securities or banking industry compliance to integrate compliance and operational strategies into programs and processes. Leads large or multiple projects with significant scope and impact. Supervises as associates complete difficult assignments that are broad in nature, require originality and ingenuity, and have an appreciable latitude for unreviewed actions or decisions. 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 regulatory agencies to identify, research, analyze and resolve complex issues. Essential Duties and Responsibilities:
•Monitors and reviews all audits conducted by the Compliance department. •Performs supervisory activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, and participating in interviewing and selecting staff. •Plans, assigns, monitors, reviews, evaluates and leads the work of others. •Coaches and mentors subordinates, identifies training needs, and recommends appropriate development programs. •Oversees sales management processes (New Account approval, Supervision, Correspondence review, Product Review, OBA approval, etc.) and if directed, takes corrective action. •Reviews and approves assigned accounts for discretionary trading. •Monitors activities of associates under heightened supervision and reports to designated senior management. •Oversees and coordinates account maintenance fees. •Assists with registration approvals. •Assists in preparing and presenting operational budgets for assigned functional area. •Interprets and applies organizational policies and procedures. •Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements. •Performs periodic reporting on compliance and operational issues as required. •Ensures effective coordination within assigned work group and with other work groups. •Identifies, recommends and works with other areas of the firm to automate and streamline functions that improve operational efficiencies of compliance systems. •Balances conflicting resource and priority demands. •Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities: Advanced Knowledge of:
•Concepts, practices and procedures of securities industry and/or banking compliance. •Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; state banking regulatory agencies. •Investment concepts, practices and procedures used in the securities industry. •Principles of banking and finance and securities industry operations. •Financial markets and products. Advanced Skill in:
•Planning and scheduling work to meet regulatory organizational and regulatory requirements. •Identifying and applying appropriate compliance monitoring procedures and tests. •Preparing oral and written reports. •Investigating compliances issues and irregularities. •Making rule-based and analytical decisions. •Operating standard office equipment and using required software applications. Ability to:
•Supervise, 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. •Gather information, identify linkages and trends, and apply findings to assignments. •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. •Maintain confidentiality. •Work independently as well as collaboratively within a team environment. •Establish and maintain effective working relationships at all levels of the organization. •Maintain currency in laws, rules and regulations related to compliance in assigned functional area. 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. ~or~ •Any equivalent combination of experience, education and/or training as approved by Human Resources. Licenses/Certifications:
•Series 7 and 24 required. •Additional appropriate Series license(s) for assigned function area to be obtained within six (6) months of hire.
JobAuditing & CompliancePrimary LocationUS-FL-St. Petersburg-Saint PetersburgOrganizationRJA Compliance AdministrationScheduleFull-timeShiftDay JobTravelYes, 10 % of the Time