Job Description Summary

Under limited supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to support the design, implementation and supervision of a comprehensive electronic trading and controls compliance program, inclusive of SEC Rule 15c3-5 (“the Market Access Rule”). Leads major projects, programs or processes with significant business impact involving cross-functional teams. Supervises others to perform difficult assignments that are broad in nature. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Maintains extensive contact with customers to identify, research, analyze and resolve complex issues.

Job Description

Essential Duties and Responsibilities

• Develops and maintains compliance programs, systems, policies and procedures to ensure compliance with electronic trading and controls regulations in the U.S.

• Organizes and facilitates the enterprise Electronic Trading and Controls Committee on a quarterly basis.

• Designs and executes electronic trading and controls monitoring activities on a recurring frequency.

• Works with RJF Compliance Pillars to appropriately ingest Market Access risks, obligations, and to develop KRIs.

• Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded related to Market Access.

• Works with the Business Unit Compliance teams to develop, review, and assist in adjusting applicable department supervisory procedures to adapt to changing regulatory matters related to Market Access.

• Establishes program requirements for international subsidiaries to provide reporting to RJF.

• Establishes required enterprise electronic trading and controls compliance training to comply with regulatory requirements/expectations.

• Leads and manages all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure).

• Reviews electronic trading compliance and risk management controls and recommends appropriate changes, as required.

• Coordinates the preparation and assists applicable U.S. businesses in completing the annual FINRA Market Access 15c3-5 CEO certification. 

• Plans, assigns, monitors, reviews, evaluates, and leads the work of others.

• Coaches and mentors subordinate, identifies training needs and recommends appropriate development programs.

• May oversee compliance exception reporting processes and take appropriate action, as required.

• May perform human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff. 

• Continually evaluates the department structure and strategic plan, considering future growth. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service.

• Ensures processes and procedures support efficient and timely workflow.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

• Concepts, practices, and procedures of securities industry compliance.

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.

• Section 404 of the Sarbanes-Oxley Act of 2002.

• Retail and clearing firm operations.

• Financial markets and products. 

• Investment concepts, practices and procedures used in the securities industry.

Advanced Skill in:

• Administering regulatory notifications and filings.

• 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.

• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

• 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 application to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

• Work under pressure on multiple tasks concurrently, manage those delegated; 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 (s).

• Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others.

• Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.

• Work independently as well as collaboratively within a team environment to resolve problem.

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.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Education

Work Experience

Certifications

Salary Range

$130,000.00-$150,000.00

Travel

Less than 25%

Workstyle

Hybrid

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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