Internal ID: 1702821
The U.S. Private Client Group of Raymond James (“PCG”) provides wealth management, securities brokerage, and investment advisory services to clients utilizing a broad range of financial products and services through more than 7,000 affiliated financial advisors and multiple registered entities.
This position is responsible for administering and managing the compliance education and communciation programs for the U.S. Private Client Group Compliance Department (“PCG Compliance”). Working closely with the Office of the Chief Compliance Officer and business unit leaders from PCG, this position will:
Essential Duties and Responsibilities:
- Build a continuing education and training program for PCG Compliance and strategic business units in regards to Broker Dealer and Investment Advisory compliance concepts.
- Develop a PCG Compliance communication program.
- Conduct a needs analysis to ensure communication and educational programs and materials offered are specific to the compliance communication and training needs of home office compliance associates, branch associates and strategic business partners.
- Research and identify educational and communication resources to develop a network of subject matter experts to address needs identified through analysis.
- Manage the quality of educational delivery and results by developing and maintaining appropriate metrics and ensuring post training evaluations and analysis are performed.
- Deliver educational training. This position with have significant interaction with business unit leaders from PCG and PCG Compliance.
- Establish objectives and develop processes and procedures for training and communication.
- Serve as a leader for compliance education and communication staff.Coaches and mentors team, identifies training needs, and recommends appropriate development programs.
- Collaborates with management and strategic business units to plan curriculum and communications.
- Prepares and delivers written and oral presentations to various levels in the firm.
- Maintain currency in industry issues, procedures, training techniques and methodologies.
- Ensures effective coordination within assigned work group and with other work groups.
- Identifies and recommends solutions to automate and streamline training and communications that improve the operational efficiency.
- 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 and banking 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), and the Federal Reserve System.
•Investment concepts, practices and procedures used in the securities industry.
•Principles of banking, finance and securities industry operations.
•Financial markets and products. Advanced Skill in:
•Administering regulatory notifications and filings.
•Planning and scheduling work to meet regulatory organizational and regulatory requirements.
•Identifying and applying appropriate compliance monitoring procedures and tests.
•Preparing oral and/or written reports.
•Investigating compliances issues and irregularities.
•Making rule-based and analytical decisions.
•Strong verbal and written communication. Ability to:
•Manage, 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.
•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.
•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.
•Interpret and apply policies and identify and recommend changes as appropriate.
•Quantitatively and/or qualitatively process data.
•Formulate and implement department strategies consistent with long-term company goals. Educational/Previous Experience Requirements:
- Bachelor’s degree (B.A.) in a related discipline with a minimum of (8) years of experience in Compliance. (Broker/Dealer-Investment Advisory)
- Adult Learning Theory experience is Preferred.
Any equivalent combination of experience, education, and/or training approved by Human Resources.
•Series 7 License Required.
•Additional appropriate Series license(s) for assigned function area to be obtained within six (6) months to one (1) year of hire date, as applicable. #LI-DG1
JobAuditing & CompliancePrimary LocationUS-FL-St. Petersburg-Saint PetersburgOrganizationPrivate Client GroupScheduleFull-timeShiftDay JobTravelYes, 15 % of the Time