Job Summary

Under general supervision, uses knowledge and skills in compliance and financial services obtained through education and experience, which may include securities and /or compliance certifications to support the Raymond James Compliance Quality Assurance program. Executes all Quality Assurance (QA) owned processes, including but not limited to, quarterly sampling selection, QA reviews, and data aggregation for quarterly reporting. Requires collaboration with various Testing and Monitoring teams and Compliance Risk Assessment teams to complete reviews on a variety of topics to verify that Compliance is adhering to its own internal compliance standards. Quality assurance results are informative in the identification of compliance risk management process improvements and training opportunities. Requires an analytical mind, attention to detail, and a critical eye to perform the work accurately and effectively.

Essential Duties and Responsibilities

• Executes the Quality Assurance program under limited supervision.
• Extracts data from applicable SharePoint/Open Pages sites to be utilized in determining quarterly populations and prepare the quarterly Sample Selections according to Quality Assurance methodology.
• Analyzes real time (in process) and completed tests, monitoring reviews, and compliance risk assessments to provide feedback regarding adherence to internal compliance standards, frameworks, and methodologies.
• Collaborates with Compliance teams to gain a greater understanding of the topic under review.
• Provide meaningful feedback to the various Compliance teams including compliance process improvements and training opportunities.
• Utilizes excellent communication skills, both oral and written, to influence internal audiences across Compliance, including Compliance Assurance management.
• Prepares impactful reporting for quarterly QA activities and observations.
• Fosters positive relationships across the various Compliance teams.
• May coach, train, and mentor other Compliance associates.
• Balances conflicting resource and priority demands.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Compliance risk management processes and applicable U.S. broker-dealer and registered investment adviser regulatory requirements and controls.
• 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.

Skill in:

• Compliance testing/monitoring and/or quality assurance programs and one or more elements of a compliance risk management framework.
• 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 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:

• Execute compliance projects, programs or processes with significant compliance and business impacts.
• Successfully prioritize several complex reviews in various stages of completion to ensure team deadlines are met.
• 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.
• 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.) and a minimum of three (3) years of experience in Compliance and/or the financial services industry preferred.

~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.