Compliance Manager - Institutional Fiduciary Solutions (Retirement Planning, ERISA/DOL)

Description

Job Summary

Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in securities / retirement industry to ensure firm policies and procedures are up-to-date and commensurate with the level of risk being mitigated. Works within a specified Business Unit to lead large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with a high level of latitude for un-reviewed actions or decisions. Provides comprehensive solutions to vastly complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve very complex issues.

*Remote Option Available*

Essential Duties and Responsibilities

· Oversees the compliance programs for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes.

· Supports a specific Business Unit.

· May coach, train, and mentor less experienced Compliance Specialists.

· May serve as a “team lead” for more junior compliance associates including potentially assisting in the talent selection process. Reviews the policies, procedures, and test findings produced by other compliance associates.

· 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 Senior Compliance 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.

· Develops and maintains compliance policies and procedures.

· Develops compliance training programs, including maintaining training records and coordinating training with other compliance activities.

· Reports compliance program status and activities to compliance and business management.

· Manages external compliance examinations, ensuring that requested information and reports are provided.

· May make risk-based recommendations to Senior Management using extensive industry knowledge to review products, production, and asset value changes across the firm’s business lines.

· Prepares and delivers written and oral presentations to management.

· Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities

Advanced Knowledge of:

· Concepts, practices, and procedures of securities industry and/or banking compliance reviews.

· Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or the Department of Labor (DOL), including Employee Retirement Income Security Act (ERISA) law

· Fundamental investment concepts, practices and procedures used in the securities industry.

· Principles of banking and finance and securities industry operations.

· Financial markets and products.

Skill in:

· Overseeing compliance programs.

· Integrating and aligning compliance processes and procedures with business processes.

· Coordinating complex compliance activities.

· Providing support and guidance for compliance efforts.

· Identifying and implementing controls and quality assurance processes.

· Reviewing materials for compliance with rules and regulations.

· Researching compliance issues.

· Developing compliance training programs.

· Gathering information and preparing oral and written reports.

· Preparing and delivers written and oral presentations.

· Investigating relevant irregularities.

· Making rule-based and analytical decisions.

· Operating standard office equipment and using required software applications.

Ability to:

· Provide training, coaching, and mentoring for 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.

· 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.

· 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.

· Provide a high level of customer service.

· Establish and maintain effective working relationships at all levels of the organization.

· Maintain confidentiality.

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

Educational/Previous Experience Requirements

· Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in the financial services industry, compliance, or risk management.

~or~

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

Licenses/Certifications

· None Required.

· Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Travel

None Required

Raymond James Guiding Behaviors 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

Job

Compliance

Primary Location

US-FL-St. Petersburg-Saint Petersburg

Organization

RJF Corporate

Schedule

Full-time

Shift

Day Job

Travel

No