About the position Under intermittent supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in the securities industry to ensure compliance with securities rules and regulations, while supporting the Capital Markets Control Room department and its business partners. Collaborates with manager and team on Over-The-Wall monitoring, trade monitoring, chaperoning calls and emails, data collection, validation, analysis, and reporting of metrics. Maintains regular contact with business partners to identify, research, and resolve problems. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues

Responsibilities

• Proactive/engaging member of the Control Room supporting Capital Markets Compliance, and informational barrier functions.
• Control Group email forwarding responsibilities as well as call chaperoning functions between private side and public side.
• Vendor due diligence in connection with MNPI controls (part of PRF process).
• Facilitate conflict of interest searches and reporting firm wide.
• Reports compliance program status and activities to Control Room and stakeholder management.
• Facilitate preclearance of RJF stock for the firms Section 16 officers.
• Facilitates adjustments to existing programs, policies and procedures, as required.
• Provides support and guidance to compliance efforts in assigned business entity.
• Informs appropriate Senior Management about issues that may involve rule violations or potential liability.
• Assists in implementing adequate controls and quality assurance processes to detect and address potential compliance problems.
• Researches compliance issues.
• Alerts Senior Management of current regulatory issues.
• Monitors exception and other internal reports for employee adherence with rules and regulations.
• Addresses sensitive compliance issues with Management in assigned functional area.
• Reviews documentation related to compliance issues for validity and alignment with organizational policies.
• Prepares and delivers written and oral presentations to senior management.
• May coordinate responses to regulatory agency inquiries.
• Develops compliance training programs in conjunction with other compliance activities, as well as maintains training records.
• Supports relevant external examinations, ensuring that requested information and reports are provided.
• Prepares and delivers written and oral presentations to Management.
• Performs other duties and responsibilities as assigned.

Requirements

• 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 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 recommends policy and procedural 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.
• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in the financial services industry, compliance, or risk management.
• ~or~ Any equivalent combination of experience, education, and/or training approved by Human Resources.
• None Required.

Nice-to-haves

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

Benefits

• 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)
• parental leave