Raymond James Financial
Compliance Manager- Regulatory Change Management (Hybrid)
Raymond James Financial, Orlando, Florida, us, 32885
Job Title:
Compliance Manager - Regulatory Change Management (Hybrid) (2403488)Job Summary:Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to support the continuous evolution of the firm's Regulatory Change Management program. This role may have responsibility for, but is not limited to, helping support the maintenance of the regulatory inventory of laws, rules, and regulations, helping scan the horizon for emerging risks, identification of applicable regulatory changes, supporting a review and analysis of potential risks, and supporting the communication of reporting regulatory changes, where appropriate. 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. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.Essential Duties and Responsibilities:Collaborates frequently across business unit Compliance teams.Helps support oversight and review of work efforts related to regulatory changes impacting the firm.Creates and distributes related reporting.Helps coordinate ongoing Regulatory Change Management working groups.Helps ensure continued maintenance and refresh of the enterprise regulatory inventory.Provides support when adjustments are needed to existing programs, policies, and procedures.Ensures that compliance activities are commensurate with the level of risk being mitigated.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.Research compliance-related items.Develops and maintains compliance policies and procedures.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 Federal Reserve Board (FRB); 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:Supporting complex compliance activities.Providing support and guidance for compliance efforts.Reviewing materials for compliance with rules and regulations.Researching compliance issues.Gathering information and preparing oral and written reports.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 in writing, with all organizational levels.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 Compliance and/or the financial services industry.Any equivalent combination of experience, education, and/or training approved by Human Resources.Licenses/Certifications:None Required.Appropriate series license(s) for assigned functional area preferred.Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.Company Overview: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.
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Compliance Manager - Regulatory Change Management (Hybrid) (2403488)Job Summary:Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to support the continuous evolution of the firm's Regulatory Change Management program. This role may have responsibility for, but is not limited to, helping support the maintenance of the regulatory inventory of laws, rules, and regulations, helping scan the horizon for emerging risks, identification of applicable regulatory changes, supporting a review and analysis of potential risks, and supporting the communication of reporting regulatory changes, where appropriate. 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. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.Essential Duties and Responsibilities:Collaborates frequently across business unit Compliance teams.Helps support oversight and review of work efforts related to regulatory changes impacting the firm.Creates and distributes related reporting.Helps coordinate ongoing Regulatory Change Management working groups.Helps ensure continued maintenance and refresh of the enterprise regulatory inventory.Provides support when adjustments are needed to existing programs, policies, and procedures.Ensures that compliance activities are commensurate with the level of risk being mitigated.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.Research compliance-related items.Develops and maintains compliance policies and procedures.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 Federal Reserve Board (FRB); 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:Supporting complex compliance activities.Providing support and guidance for compliance efforts.Reviewing materials for compliance with rules and regulations.Researching compliance issues.Gathering information and preparing oral and written reports.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 in writing, with all organizational levels.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 Compliance and/or the financial services industry.Any equivalent combination of experience, education, and/or training approved by Human Resources.Licenses/Certifications:None Required.Appropriate series license(s) for assigned functional area preferred.Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.Company Overview: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.
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