Job Description Summary

Gather information, analyze operational risk performance, identify possible risks and make recommendations for operational improvements.

Job Description

Raymond James Overview

One of the largest independent financial services firms in the country could be the place you build a career beyond your expectations.

Our focus is on providing trusted advice and tailored, sophisticated strategies for individuals and institutions. Raymond James Financial is a diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management.

At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options.

We strive to ensure everyone feels welcomed, valued, respected and heard so that you can fully contribute your unique talents for the benefit of clients, your career, our firm and our communities. Raymond James is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

Department Overview

The Financial Holding Company (FHC) Compliance Department is dedicated to ensuring that the financial holding company adheres to all applicable laws, regulations, and internal policies. This department also plays a crucial role in maintaining the integrity and reputation of the organization by overseeing compliance across various other coverage areas and corporate functions, including Enterprise Risk Management, Corporate Finance, Legal, Human Resources, and Corporate Services. Working as a collaborative partner with our stakeholders across the firm, we help identify, monitor, manage, and mitigate compliance risks.

Job Summary

Under general supervision, uses specialized knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry compliance to ensure compliance with all securities and/or banking rules and regulations. May be responsible for coordinating compliance functions, developing training programs and ability to liaison between functional areas. May lead projects of moderate scope and complexity. Serves as a n Advisor to teams. Some guidance is provided to perform varied work that is somewhat difficult in nature and that requires evaluation, originality, and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Maintains extensive contact with internal customers to identify, research, and resolve problems.

Duties and Responsibilities

• Assists in daily Compliance monitoring and testing activities.

• Assists management to implement adequate controls and quality assurance processes to detect and address potential compliance problems .

• Assists in overseeing compliance program(s) for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes.

• Assists in developing compliance training programs, including maintaining training records and coordinating training with other compliance activities.

• Specified projects and assignments , which may vary.

• Operates standard office equipment and uses required software applications .

• Performs other duties and responsibilities as assigned .

Knowledge, Skills, and Abilities

Knowledge of

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or 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; and state banking regulatory agencies.

• Principles of banking and finance and securities industry operations.

• Basic concepts, principles, and practices of an assigned business unit .

• Fundamental concepts, practices, and procedures of a professional office environment.

• Basic Microsoft Outlook, Word and Excel Skills

• Fundamental concepts of Financial Services

Skill in

• Identifying and implementing controls and quality assurance processes.

• Integrating and aligning compliance processes and procedures with business processes

• Reviewing materials for compliance with rules and regulations

• Researching compliance issues.

• Developing compliance training programs.

• Investigating relevant irregularities.

• Making rule-based and analytical decisions.

• Gathering information and preparing oral and written reports

• Analytical thinking and problem solving

• Executing tasks on a timeline

• Operating standard office equipment and using required software applications.

Ability to

• Attend to detail while maintaining a big picture orientation.

• Interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate.

• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.

• Gather information, identify linkages and trends, and apply findings to assignments.

• Partner with other functional areas to accomplish objectives.

• Organize and Prioritize tasks and execute deliverables.

• Work independently as well as on a team.

• Provide a high level of customer service.

• Establish and maintain relationships.

• Communicate effectively orally and in writing.

Educational/Previous Experience

• Eligible applicants must be legally authorized to work in the US and not require visa sponsorship now or in the future (including beyond OPT/EAD).

• Bachelor’s degree

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None required.

Location

Hybrid position - St. Petersburg office

• No travel required.

Education
Bachelor’s: Accounting, Bachelor’s: Actuarial Science, Bachelor’s: Applied Mathematics

Work Experience
General Experience - 7 to 12 months

Certifications
Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

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-AA2

Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, the firm now has locations across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF