Senior Manager, GEIB Compliance in Saint Petersburg, PA

$150K - $200K(Ladders Estimates)

Raymond James Financial, Inc   •  

Saint Petersburg, PA 16054

Industry: Finance & Insurance


8 - 10 years

Posted 59 days ago

This job is no longer available.


Job Summary:

Under very limited direction, uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to ensure firm policies and procedures are up-to-date and commensurate with the level of risk being mitigated. Leads large or multiple projects specifically pertaining to Global Equities Investment Banking matters. 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. Provides comprehensive solutions to very complex problems. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Maintains extensive contact with internal customers to identify, research, analyze and resolve very complex issues. Internal customers are the heads of GEIB Compliance and the CCO of Capital Markets. May also assist the CCO on varying projects, analyses, and matters relevant to delivering an overall Capital Markets Compliance effort.

Essential Duties and Responsibilities:

• Assists with implementing the GEIB Compliance Program.

• Supports all sales/trading efforts for GEIB as part of the GEIB Compliance team.

• May serve as a "team lead" for more junior compliance associates including potentially assisting in the talent selection process. Reviews the policies, procedures, and test findings produced by other compliance associates.

• Directs adjustments to existing programs, policies and procedures, as required.

• Ensures that compliance activities are commensurate with the level of risk being mitigated.

• Provides escalated support and guidance to compliance efforts in assigned business entity.

• 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.

• Researches compliance issues.

• Develops and maintains compliance policies and procedures.

• Develops compliance training programs, including maintaining training records and coordinating training with other compliance activities.

• Reports compliance program status and activities to compliance and business management.

• May make risk-based recommendations to Senior Management using extensive industry knowledge to review products, production, and asset value changes across the firm's business lines.

• Routinely interacts with senior business personnel within Capital Markets.

• Prepares and delivers written and oral presentations to management.

• Performs other duties and responsibilities as assigned.

• Reports to the head of GEIB Compliance.



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.

Skill in:

• Overseeing compliance programs.

• 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.

• Developing compliance training programs.

• Gathering information and preparing oral and written reports.

• Preparing and delivers written and oral presentations.

• Investigating compliance irregularities.

• 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 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.) in a related discipline and a minimum of eight (8) years of experience in Compliance and/or the financial services industry.


• Any equivalent combination of experience, education, and/or training approved by Human Resources

Valid Through: 2019-9-13