**Description** **Job Summary** Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to manage and oversee the registrations functions for Raymond James and its subsidiaries. Acts as a subject matter expert for registration issues and oversees a team and processes that provides new and existing associates assistance and support with their FINRA, SEC, CFTC, MSRB, CBOE, NMLS, and NFA registrations. This position executes major projects, programs, or processes with significant business impacts, and works with members of the PCG Compliance, Supervision, Legal, IT, and business leadership teams to develop tactical plans for registration initiatives. The position also completes complex assignments and helps design comprehensive solutions to complex problems or needs. Maintains ongoing contact with various business units and change stakeholders is essential to the performance of this job. **Essential Duties and Responsibilities** * Maintains knowledge of current and emerging regulations and advises on compliance risks related to registration requirements. * Performs human resource management activities including identifying performance problems, approving recommendations for remedial action, evaluating performance, and interviewing and selecting staff. * Manages team; budget, reporting structure, and division of responsibilities within the Registrations department. * Monitors and streamlines workflows to ensure requests are processed in a timely and efficient manner. * Functions as the subject matter expert on Registrations workflows, data flows, and the systems utilized in the respective processes. * Interprets, applies, and recommends changes to organizational procedures. * Oversees on-boarding, ongoing maintenance, and terminations of registered and associated persons, disclosure amendments, location and Firm filings, etc. * Oversees associate mortgage licensing and renewals for RJ Bank. * Oversees, reviews, and provides support to associates in meeting the timely completion of the Firm’s regulatory filing requirements. * Oversees the Firm’s use of FINRA’s Gateway system and other regulatory registrations systems and controls access to such for the organization. * Oversees Registrations billing functions. * Handles identification, tracking, reporting, and resolution of escalated issues. * Communicates to business units on registration requirements; develops and maintains procedures, reporting, and metrics. * Develops and implements monitoring and control processes. * Identifies and implements process improvements that significantly reduce workloads and improve quality. * Develops, reviews, and adjusts the department’s desk procedures to adapt to changing regulatory and business environments. * Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensure quality standards are consistently attained or exceeded. * Develops short- and long-term goals and initiatives to achieve strategic vision for the department. * Maintains the required compliance systems for the Firm while fostering a positive relationship with department associates and management. * Performs other duties and responsibilities as assigned. **Qualifications** **Knowledge, Skills, and Abilities** **Advanced knowledge of:** * Registration rules and procedures in the financial services industry. * Concepts, practices, and procedures of the financial services industry. * FINRA, SEC, MSRB, CBOE, CFTC, NMLS, and NFA rules and requirements. * FINRA and SEC licensing and registrations functions. **Advanced skill in:** * Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally. * Organizational and time management skills sufficient to handle multiple priorities in a fast paced and ever-changing environment. * Project management skills and experience sufficient to successfully complete long and short-term projects. * Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases. **Ability to:** * Manage all levels of associates, including technical, professional, clerical, administrative, and supervisory associates. * Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others. * Have a proactive mindset in problem identification and resolution. * Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. * Coordinate and balance multiple projects in a time-sensitive environment, under pressure, and meeting deadlines. * Partner with other functional areas to accomplish objectives. * Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment. * Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives. * Identify performance problems and implementing remedial action; evaluating performance; and interviewing and selecting staff. * Work independently as well as collaboratively within a team environment. **Educational/Previous Experience Requirements** **Education/Previous Experience** * Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred. Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry. * Minimum five (5) years management experience within the financial services industry. * ~or~ * Any equivalent combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications** * None Required. * SIE, Series 7, 9/10 OR 24 licenses preferred. * Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred. **Job:** Compliance **Primary Location:** US-FL-St. Petersburg-Saint Petersburg **Organization** RJF Corporate **Schedule** Full-time **Job Shift** Day Job **Travel** No **Req ID:** 2403165