Internal ID: 1702932
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 communications 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 communication program for PCG Compliance and strategic business units in regards to Broker Dealer and Investment Advisory compliance concepts.
- Develop and maintain department communications; including internal and external communications, manintenance of department Intranet and SharePoint sites, etc.
- Assist in analysis to ensure communications are specific to the needs of home office compliance associates, branch associates and strategic business partners.
- Assist in maintaining appropriate metrics, records and analysis of communications. This position will have significant interaction with business units from PCG and PCG Compliance.
- Assist in establishing objectives and developing processes and procedures for communications.
- Coordinate communications for compliance along with other business units.
- Assist in communicating and standardizing the implementation of all internal workflow details across compliance department areas.
- Collaborate with Corporate Communications.
- 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, techniques and methodologies.
- Balance conflicting resource and priority demands.
- Perform other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
Educational/Previous Experience Requirements:
- Threeyears or more experience in financial services firm or related industry, combined with experience in various medias used for communications.
- 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; i.e. SharePoint, Intranet development.
- 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.
Licenses/Certifications: •Series 7 License is Required.
- Communicationsprogram development experience ispreferred.
- SharePoint development experience is preferred.
•Any equivalent combination of experience, education, and/or training approved by Human Resources.
JobAuditing & CompliancePrimary LocationUS-FL-St. Petersburg-Saint PetersburgOrganizationPrivate Client GroupScheduleFull-timeShiftDay JobTravelYes, 10 % of the Time