Job Summary

Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry to ensure compliance with all securities and/or banking rules and regulations as they relate to the appropriate management of records and information. Coordinates and guides compliance efforts while acting as a liaison between functional areas. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities

· Shares responsibility for the oversight of Business Records Programs to ensure compliance with the Business Records Program Standard. Provides the first line with advice and guidance and assists with the development, presentation, and maintenance of training and communications specific to business unit records programs, to various audiences, including Records Champions, Risk Managers, etc.

· Develops, maintains, matures, and improves Book and Records Governance first line-facing services to ensure compliance requirements and risk identification and mitigation are integrated into and aligned with business processes.

· Informs appropriate Senior Management about issues that may involve rule violations or potential liability.

· Researches and addresses sensitive compliance issues with Management, as necessary.

· Researches, interprets, and translates regulatory rules and regulations for businesses, IT, and Management.

· Monitors internal reports and processes to confirm compliance with books and records requirements, rules, and regulations.

· Reviews documentation for alignment with organizational books and records policies.

· Prepares and delivers written and oral presentations to Management.

· Coaches and mentors less experienced Compliance associates.

· Performs other duties and responsibilities as assigned.

Job Summary

Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry to ensure compliance with all securities and/or banking rules and regulations as they relate to the appropriate management of records and information. Coordinates and guides compliance efforts while acting as a liaison between functional areas. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities

· Shares responsibility for the oversight of Business Records Programs to ensure compliance with the Business Records Program Standard. Provides the first line with advice and guidance and assists with the development, presentation, and maintenance of training and communications specific to business unit records programs, to various audiences, including Records Champions, Risk Managers, etc.

· Develops, maintains, matures, and improves Book and Records Governance first line-facing services to ensure compliance requirements and risk identification and mitigation are integrated into and aligned with business processes.

· Informs appropriate Senior Management about issues that may involve rule violations or potential liability.

· Researches and addresses sensitive compliance issues with Management, as necessary.

· Researches, interprets, and translates regulatory rules and regulations for businesses, IT, and Management.

· Monitors internal reports and processes to confirm compliance with books and records requirements, rules, and regulations.

· Reviews documentation for alignment with organizational books and records policies.

· Prepares and delivers written and oral presentations to Management.

· Coaches and mentors less experienced Compliance associates.

· Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Financial markets and products, fundamental investment concepts, practices and procedures used in the securities industry.

• Principles of finance and securities industry operations.

• 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); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); and Federal Reserve System, especially recordkeeping requirements and obligations.

Skill in:

• 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.

• Gathering information and preparing written reports.

• Preparing and delivering oral presentations.

• Investigating relevant irregularities.

• Making rule-based and analytical decisions.

• Operating standard office equipment and using required software applications.

Ability to:

• 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 policy and procedural 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
Education/Previous Experience
• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of three (3) years of experience in Compliance and/or the financial services industry.
• ~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

Knowledge, Skills, and Abilities

Knowledge of:

• Financial markets and products, fundamental investment concepts, practices and procedures used in the securities industry.

• Principles of finance and securities industry operations.

• 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); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); and Federal Reserve System, especially recordkeeping requirements and obligations.

Skill in:

• 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.

• Gathering information and preparing written reports.

• Preparing and delivering oral presentations.

• Investigating relevant irregularities.

• Making rule-based and analytical decisions.

• Operating standard office equipment and using required software applications.

Ability to:

• 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 policy and procedural 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
Education/Previous Experience
• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of three (3) years of experience in Compliance and/or the financial services industry.
• ~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

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 firmAt 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 firmAt 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.