Compliance Manager, PCG Branch Exams
Job Description Summary
Under intermittent supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance or supervision to lead a team of geographically dispersed branch examiners. Oversees their team’s exams to ensure accuracy and adherence with the program’s protocols and guidelines. Ensures escalation of items, as appropriate. Leads projects with significant scope and impact. Maintains extensive contact with internal customers and compliance partners to identify, research, analyze, and resolve complex issues. Travel required: with examiners to assess examiner performance and, on a limited basis, to conduct branch exams.
Job Description
Essential Duties and Responsibilities
• Monitors and reviews branch exams conducted by the PCG Branch Exam team.
• Drives adherence with the exam program’s documented guidelines and protocols.
• Performs management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, and participating in interviewing and selecting examiners.
• Coaches and mentors subordinates, identifies training needs, and recommends appropriate development programs.
• Works in partnership with key parties within Divisional Management, Supervision, and other areas within compliance to address escalation items.
• Interprets and applies organizational policies and procedures.
• Establishes objectives and assists in developing processes and procedures to ensure adherence to regulatory requirements.
• Performs periodic reporting on compliance and operational issues, as required.
• Identifies and makes recommendations to streamline functions that improve operational efficiencies of exam program.
• Participates in department-wide projects, as needed.
• May represent Branch Exams and present exam overviews and/or results at various business partner meetings.
• Balances conflicting resource and priority demands.
Knowledge, Skills, and Abilities
Knowledge of:
• Concepts, practices and procedures of securities industry and/or banking compliance.
• Rules and regulations of: Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), state securities and banking regulatory agencies, Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC), Federal Financial Institutions Examination Council (FFIEC), Office of Thrift Supervision (OTS), and the Federal Reserve System.
• Investment concepts, practices and procedures used in the securities industry.
• Principles of banking, finance and securities industry operations.
• Financial markets and products.
Skill in:
• Administering regulatory notifications and filings.
• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Identifying and applying appropriate compliance monitoring procedures and tests.
• Preparing oral and/or written reports.
• Investigating compliances issues and irregularities.
• Making rule-based and analytical decisions.
• Strong verbal and written communication.
Ability to:
• Manage, coach and mentor 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.
• 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.
• Establish and maintain effective working relationships at all levels of the organization.
• Maintain confidentiality.
• Maintain currency in laws, rules and regulations related to compliance in assigned functional area.
• 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.
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.
~or~
• Any equivalent combination of experience, education and/or training as approved by Human Resources.
Licenses/Certifications:
• Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe.
o Required to have a Series 7, 24 or willing to obtain within 120 days of employment
o Series 9 and 10 can be used instead of the 24
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
Education
Work Experience
Certifications
Salary Range
$100,000.00-$115,000.00
Travel
Up to 50%
Workstyle
Remote
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.
#LI-AF1
Apply Now
Apply Now
Under intermittent supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance or supervision to lead a team of geographically dispersed branch examiners. Oversees their team’s exams to ensure accuracy and adherence with the program’s protocols and guidelines. Ensures escalation of items, as appropriate. Leads projects with significant scope and impact. Maintains extensive contact with internal customers and compliance partners to identify, research, analyze, and resolve complex issues. Travel required: with examiners to assess examiner performance and, on a limited basis, to conduct branch exams.
Job Description
Essential Duties and Responsibilities
• Monitors and reviews branch exams conducted by the PCG Branch Exam team.
• Drives adherence with the exam program’s documented guidelines and protocols.
• Performs management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, and participating in interviewing and selecting examiners.
• Coaches and mentors subordinates, identifies training needs, and recommends appropriate development programs.
• Works in partnership with key parties within Divisional Management, Supervision, and other areas within compliance to address escalation items.
• Interprets and applies organizational policies and procedures.
• Establishes objectives and assists in developing processes and procedures to ensure adherence to regulatory requirements.
• Performs periodic reporting on compliance and operational issues, as required.
• Identifies and makes recommendations to streamline functions that improve operational efficiencies of exam program.
• Participates in department-wide projects, as needed.
• May represent Branch Exams and present exam overviews and/or results at various business partner meetings.
• Balances conflicting resource and priority demands.
Knowledge, Skills, and Abilities
Knowledge of:
• Concepts, practices and procedures of securities industry and/or banking compliance.
• Rules and regulations of: Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), state securities and banking regulatory agencies, Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC), Federal Financial Institutions Examination Council (FFIEC), Office of Thrift Supervision (OTS), and the Federal Reserve System.
• Investment concepts, practices and procedures used in the securities industry.
• Principles of banking, finance and securities industry operations.
• Financial markets and products.
Skill in:
• Administering regulatory notifications and filings.
• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Identifying and applying appropriate compliance monitoring procedures and tests.
• Preparing oral and/or written reports.
• Investigating compliances issues and irregularities.
• Making rule-based and analytical decisions.
• Strong verbal and written communication.
Ability to:
• Manage, coach and mentor 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.
• 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.
• Establish and maintain effective working relationships at all levels of the organization.
• Maintain confidentiality.
• Maintain currency in laws, rules and regulations related to compliance in assigned functional area.
• 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.
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.
~or~
• Any equivalent combination of experience, education and/or training as approved by Human Resources.
Licenses/Certifications:
• Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe.
o Required to have a Series 7, 24 or willing to obtain within 120 days of employment
o Series 9 and 10 can be used instead of the 24
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
Education
Work Experience
Certifications
Salary Range
$100,000.00-$115,000.00
Travel
Up to 50%
Workstyle
Remote
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.
#LI-AF1
Apply Now
Apply Now