**Job Description** **Job Summary** Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in the securities or banking industry compliance to administer and manage Associate Activities compliance functions. Works at the enterprise level to lead major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues. **Essential Duties and Responsibilities** + Establishes objectives and develops processes and procedures that adhere to all regulatory requirements. + Supports enterprises-wide compliance programs for Gifts and Entertainment, Political Contributions and Activities, Outside Investment Accounts, Outside Business Activities, Mandatory Absence and Charitable Contributions. + Performs human resources management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, as well as participating in interviewing and selecting staff. + Plans, assigns, monitors, reviews, evaluates, and leads the work of others. + Coaches and mentors subordinate, identifies training needs, and recommends appropriate development programs. + Works in conjunction with management to develop continuing education and training programs for Associate Activities content. + Oversees compliance exception reporting processes and approves corrective actions. + Assists with audit processes, including scheduling, training, and reviewing audit results. + Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance systems. + Serves as a compliance liaison on various committees and projects that represent the department’s interest(s). + Research regulatory updates to identify linkages, report trends and apply findings. + Periodically reports on compliance and operational issues. + Balances conflicting resource and priority demands. + Routinely interacts with Compliance, Legal, Supervision, HR, AML, Technology and Business Unit associates and leaders. + Reviews team reports, metrics, and presentation materials to ensure executive ready quality. + Facilities routine monthly or quarterly meetings by collecting discuss topics and creating an agenda. + Reviews and provides guidance for escalated requests for outside business activities, political events, and client gifts and entertainment, as needed. + Functions as the team’s RJnet author completing annual review of associate activities topics and preforming updates + Completes quarterly document retention requirements. + Performs other duties and responsibilities as assigned. **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 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. + Fundamental investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and securities industry operations. + Financial markets and products. **Advanced Skill in:** + Administering regulatory notification and filings. + Planning and scheduling work to meet regulatory organizational and regulatory requirements. + Identifying and applying appropriate compliance monitoring procedures and tests. + Preparing oral and/or written reports. + Investigating compliances issues and irregularities. + Making rule-based and analytical decisions. + Strong verbal and written communication. + Operating standard office equipment and using required software applications. **Ability to:** + Manage, coach and mentor 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. + 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. + Establish and maintain effective working relationships at all levels of the organization. + Maintain confidentiality. + Maintain currency in laws, rules and regulations related to compliance in assigned functional area. + Interpret and apply policies and identify and recommend changes as appropriate. + Quantitatively and/or qualitatively process data. + Formulate and implement department strategies consistent with long-term company goals. **Licenses/Certifications** + Series 9/10 or 24 and ability to obtain within 120 days + Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred. **Education** Bachelor’s **Work Experience** General Experience - 6 to 10 years **Certifications** Other License Not Listed - Other **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-AF1