Description

Job Summary

Under intermittent supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to support the design and implementation of the Disclosure program. Ensure firm policies and procedures are up-to-date and commensurate with the level of risk being mitigated. Assists with large or multiple projects with significant scope and impact. 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 vastly complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve very complex issues.

Essential Duties and Responsibilities

• Manages the disclosure inventory and facilitates the disclosure assessment process.

• Evaluates regulatory disclosure obligations and identifies corresponding client disclosures.

• Provides support to business, compliance, and legal stakeholders on disclosure inventory questions, disclosure assessments, and other related requests.

• Develops metrics & reporting to support Disclosure program.

• Collaborates on the multi-year disclosure-related project and planning initiatives, including connectivity with Disclosure Governance and Conflicts of Interest.

• Aids in the preparation of the assessment schedule.

• Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance program and processes.

• 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 Leadership 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 and recommends solutions to compliance issues.

• Develops and maintains relevant compliance policies and procedures.

• Develops applicable training for disclosure-related initiatives, including maintaining training records and coordinating training with other associates and teams.

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

• Manages external compliance examinations, ensuring that requested information and reports are provided.

• May make risk-based recommendations to Senior Management using extensive industry knowledge.

• Prepares and delivers written and oral presentations to management.

• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities

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

• 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.

• Gathering information and preparing oral and written reports.

• Preparing and delivers written and oral presentations.

• Investigating relevant irregularities.

• Making rule-based and analytical decisions.

• 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.

• 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

Education/Previous Experience

• 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 approved by Human Resources.

Licenses/Certifications

• None Required.

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

Job: Compliance

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Other Locations: US-CO-Denver-Denver, US-MI-Southfield-Southfield, US-TN-Memphis-Memphis, US-NY-New York-New York City

Organization RJF Corporate

Schedule Full-time

Job Shift Day Job

Travel No

Req ID: 2402824