Internal ID: 1702934
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 developing and administering compliance education for the U.S. Private Client Group Compliance Department (“PCG Compliance”). Working closely with the leader of Compliance Educational Training and business units from PCG, this position will:
Essential Duties and Responsibilities:
- Design, develop and coordinate a continuing education and training program for PCG Compliance and strategic business units in regards to Broker Dealer and Investment Advisory compliance concepts.
- Develop and maintain department training manuals, including best practice guides, workflow, case studies, etc.
- Assist in analysis to ensure educational programs and materials offered are specific to the training needs of home office compliance associates, branch associates and strategic business partners.
- Deliver educational training.
- Assist in maintaining appropriate metrics, records and analysis of post training evaluations. This position will have significant interaction with business units from PCG and PCG Compliance.
•Coaches and mentors less experienced Compliance associates.
•Oversees compliance program for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes.
•Directs adjustments to existing programs, policies and procedures, as required.
•Ensures that compliance activities are commensurate with the level of risk being mitigated.
•Provides escalated support and guidance to compliance efforts in assigned business entity.
•Informs appropriate Senior Management about issues that may involve rule violations or potential liability.
•Assists Management to implement adequate controls and quality assurance processes to detect and address potential compliance problems.
•Researches compliance issues.
•Alerts Senior Management of current regulatory issues.
•Researches, interprets and translates regulatory rules and regulations for Senior Management.
•Monitors exception and other internal reports for employee adherence with rules and regulations.
•Advises Senior Compliance Management on issues that involve possible rule violations and potential liability.
•Addresses sensitive compliance issues with Management in assigned functional area.
•Participates in corporate policy discussions related to compliance.
•Reviews documentation related to compliance issues for validity and alignment with organizational policies.
•Prepares and delivers written and oral presentations to senior management.
•May coordinate and/or oversee responses to regulatory agency inquiries.
•Develops compliance training programs in conjunction with other compliance activities, as well as maintains training records.
•Reports compliance program status and activities to compliance and business management personnel.
•Manages relevant external examinations, ensuring that requested information and reports are provided.
•Prepares and delivers written and oral presentations to Management.
•Performs other duties and responsibilities as assigned. *The role may be Virtual
Knowledge, Skills, and Abilities:
Essential Duties and Responsibilities:
- Assist in establishing objectives and developing processes and procedures for training.
- Coordinate educational sessions for compliance and other business units.
- Assists in communicating and standardizing the implementation of all internal workflow details across compliance department areas.
- Prepare and deliver written and oral presentations to various levels in the firm.
- Develop metrics and record keeping processes and procedures.
- Maintain currency in industry issues, procedures, training techniques and methodologies.
- Balance conflicting resource and priority demands.
- Perform other duties and responsibilities as assigned.
Educational/Previous Experience Requirements:
- Four years or more experience in financial services firm or related industry, combined with experience in training.
- 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.
- Adult learning theory.
- Use of various media and sophisticated classroom AV equipment.
- Preparing oral and written reports.
- Uses excellent communication skills to build, manage and influence partnerships with key stakeholders
- 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.
- 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.
•Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of compliance experience.
- Training/Class Facilitation experience is preferred.
•Any equivalent combination of experience, education, and/or training approved by Human Resources.
•Series 7 License is Required *The role may be Virtual
JobAuditing & CompliancePrimary LocationUS-FL-St. Petersburg-Saint PetersburgOther LocationsUS-CA-Los Angeles, US-IL-Chicago, US-FL-Orlando, US-AZ-Phoenix, US-NC-Charlotte, US-NY-New York, US-FL-Miami, US-TX-Dallas-DallasOrganizationPrivate Client GroupScheduleFull-timeShiftDay JobTravelYes, 20 % of the Time