Raymond James Financial, Inc

Compliance Director- Asset Management

Raymond James Financial, Inc • $120K — $150K *
Saint Petersburg, FL 33710In-Person
Finance & Insurance
8 - 10 years of experience
Reposted 1 week ago
Job Overview by Ladders

Qualifications

  • Bachelor's Degree required, Master's preferred in a related discipline.
  • 10+ years of Compliance, Legal, Banking, or regulatory experience in financial services.
  • 5+ years of management experience in the financial services industry.
  • Extensive knowledge of SEC regulations and investment advisory compliance practices.
  • Strong project management skills and proficiency in compliance monitoring procedures.

Responsibilities

  • Support the compliance program for Asset Management Services (AMS).
  • Act as a compliance subject matter expert for AMS-related programs.
  • Develop and manage compliance monitoring activities over AMS functions.
  • Facilitate meetings related to investment advisory activities.
  • Participate in annual compliance assessments and initiatives.
  • Review client correspondence and disclosures for compliance adherence.
  • Research and apply regulatory updates to improve compliance and operational efficiency.

Benefits

  • Hybrid work environment with less than 25% travel.
  • Positive work culture emphasizing professional growth and collaboration.
  • Opportunities for ongoing training and development in compliance.
  • Company values focused on client-first service and integrity.
  • Support for team cohesiveness and effectiveness.
Full Job Description
Job Description Summary
Uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities and/or investment advisory compliance to administer and manage investment advisory-related compliance functions for the firm's Asset Management Services ("AMS") division. Ensures alignment with SEC Regulations under the Investment Advisers Act of 1940. Leads major projects, programs, or processes with significant business impact. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Maintains contact with internal customers and regulatory agencies to identify, research, analyze and resolve complex issues.

Job Description

Essential Duties and Responsibilities
  • Assists in supporting the compliance program for AMS
  • Serves as a compliance subject matter expert specific to the business and associated programs administered by AMS.
  • Identifies, develops and administers compliance monitoring activities over AMS functions, including investment management activities, advisory fee billing, and manager research.
  • Schedules and facilitates periodic meetings specific to investment advisory activities such as best execution.
  • Participates in annual compliance initiatives such as the Compliance Risk Assessment and Conflicts of Interest Assessment.
  • May assist with the development and implementation of continuing education and training programs for the department in conjunction with management.
  • Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements.
  • Periodically review client-facing correspondence and related disclosures.
  • Partners with business units to recommend policy and process changes to Senior Management.
  • Reviews compliance and risk management controls and recommends appropriate changes, as required.
  • Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
  • May serve as a compliance liaison on various committees and projects representing the interest of the department.
  • Researches regulatory updates to identify linkages and trends and apply findings.
  • Performs periodic reporting on compliance and operational issues as required.
  • Performs other duties and responsibilities as assigned.


Knowledge, Skills, and Abilities

Advanced Knowledge of:
  • Concepts, practices, and procedures of securities industry and/or investment advisory compliance.
  • Rules and regulations of: Securities Exchange Commission (SEC); Investment Advisers Act of 1940 and SEC regulatory environment, Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies.
  • 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:
  • Planning and scheduling work to meet regulatory organizational and regulatory requirements.
  • Investigating compliances issues and irregularities.
  • Making rule-based and analytical decisions.
  • Identifying and applying appropriate compliance monitoring procedures and tests.
  • Strong verbal and written communication.
  • Preparing oral and/or written reports.
  • Project management skills and experience sufficient to successfully complete long and short-term projects.
  • 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.
  • Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
  • Attend to detail while maintaining a big picture orientation.
  • Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.
  • Establish and communicate clear directions and priorities.
  • Gather information, identify linkages and trends, and apply findings to operations.
  • Maintain currency in laws, rules and regulations related to compliance in assigned functional area.
  • Work independently as well as collaboratively within a team environment.
  • 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.
  • Promote team cohesiveness, cooperation, and effectiveness.


Educational/Previous Experience Requirements
  • 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.
  • Series 7 and 66 preferred
  • Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.


Education

Work Experience

Certifications

Travel
Less than 25%

Workstyle
Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

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About Raymond James Financial, Inc

The Raymond James Technology and Communications Investment Banking Group is a committed and thoughtful partner that provides a full range of investment banking services and best practices. The group is comprised of experienced professionals that have extensive investment banking expertise. They leverage the industry expertise of Raymond James' award-winning research department. The group focuses on key sectors within technology and communications including: communications software, communication towers, defense electronics, enterprise software, internet infrastructure services, homeland security, IT services, mobile technology, semiconductors, software-as-a-service, telecommunications equipment, telecommunications infrastructure and support services, and wireless & wireline telecommunications services. They take pride in a client-centric approach to M&A, with focus on delivering independent solutions that creates value for the long term. The outcome of this unique approach may be seen in the successful transactions of their clients, including over 80 public offerings totaling $17 billion and over 85 strategic advisory transactions totaling over $5 billion in value since 1998.

Raymond James Financial, Inc Careers

Join the vibrant team at Raymond James Financial, Inc, a leading financial services company where innovation, leadership, and professional growth are at the forefront of our operations. As a hub of diversity and expertise, Raymond James offers unparalleled job opportunities that propel your career to new heights. Work You’ll Do At Raymond James Financial, Inc, you’ll collaborate with some of the most talented professionals in the financial industry. Our team is dedicated to providing strategic financial solutions and advice to our clients, helping them achieve their financial goals while fostering economic growth. With a culture rooted in leadership and diversity training, Raymond James is the perfect place to enhance your skills and thrive professionally. Join our market-leading team to assist a diverse range of clients, from individuals to large corporations, in navigating their financial planning with precision and innovative strategies. Lead in a role where your expertise directly influences the success and stability of our clients' financial futures. Work with a dynamic team of advisors and experts who are committed to pushing the boundaries of the financial sector through continuous innovation and exceptional client service. Raymond James Financial, Inc Job Opportunities Introducing the Raymond James Career Development Program We are committed to nurturing talent through our comprehensive career development program designed to provide every employee—from interns to senior leaders—with the tools and training necessary for success. Whether you’re just starting out with an internship or you’re a seasoned professional, Raymond James offers career paths that align with your ambitions and skills. Do Innovative Work Join a company where innovation is part of the daily routine. At Raymond James Financial, Inc, you’ll engage with cutting-edge financial tools and resources that keep you ahead in the industry. Our commitment to technology and innovation ensures that we stay at the forefront of financial services. Be Part of a Great Team Experience a collaborative environment where teamwork and networking are encouraged. Our inclusive culture supports diversity and offers benefits that ensure the well-being of all team members. At Raymond James, you’re not just an employee; you’re part of a family that values your unique contributions and supports your professional journey. Future-Proof Your Career Advance your career with Raymond James, where opportunities for growth are abundant. Benefit from our industry-leading training programs and gain certifications that will elevate your professional standing. With a focus on career longevity and satisfaction, Raymond James ensures that your professional journey is as rewarding as it is successful. Explore Discover the various positions available at Raymond James Financial, Inc that match your skills and interests. We are continuously hiring across multiple disciplines, eager to welcome passionate, curious, and solution-driven team players. Stay Connected Join Our Team Search open positions at Raymond James Financial, Inc and find the perfect match for your career aspirations. Explore a range of opportunities from financial advising to corporate roles that align with your professional skills and goals. Keep Up to Date Stay informed with the latest career tips, insider perspectives, and industry-leading insights—all from the professionals who thrive at Raymond James. Job Alert Emails Customize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Discover the exciting and rewarding career opportunities waiting for you at Raymond James Financial, Inc. Join Raymond James Financial, Inc today and be part of a company that values innovation, leadership, and professional growth. Your future in the financial industry starts here.
Learn more about Raymond James Financial, Inc
Size
15,000 employees
Market Cap
$22.6 billion
Industry
Finance & Insurance
Net Income
$862 million
5 Year Trend
+11.6%
Revenue
$8.3 billion
NASDAQ
RJF
* Ladders Estimates

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