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Senior Advisor, Compliance - Raymond James Bank (Hybrid)-2303962

Description

Job Summary

Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in the banking and financial services industry to ensure compliance with applicable banking rules and regulations. Works within Raymond James Bank to coordinate compliance functions, guides compliance efforts, and act as a liaison between functional areas. Experience with Securities Based Lending (SBL), Structured Lending, and Mortgage Lending a plus. 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.

Essential Duties and Responsibilities

  • Oversees elements of the RJ Bank compliance program(s) for an assigned business entity to ensure processes and procedures are aligned with regulatory compliance requirements
  • Ability to perform risk-based compliance testing and monitoring.
  • 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/area.
  • Ability to determine matters requiring escalation to RJ Bank Compliance Management and does so with the appropriate level of urgency.
  • Advises Senior Compliance Management on issues that involve possible rule violations and potential liability.
  • Participates in review of policies, procedures, test findings, and action plans produced for completeness and accuracy.
  • Reviews marketing materials, disclosures, notices, compliance related regulatory reports, and forms for compliance with rules and regulations.
  • Assists Management to implement adequate controls and quality assurance processes to detect and address potential compliance problems.
  • Researches, interprets and translates regulatory rules and regulations for Senior Management.
  • Reviews documentation related to compliance issues for validity and alignment with organizational policies.
  • May coordinate and/or oversee responses to regulatory agency inquiries.
  • 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 the banking and financial services industries.
  • Concepts, practices and procedures of banking and financial services compliance.
  • Rules and regulations of the Federal Reserve Banking System (FRB); Consumer Financial Protection Bureau (CFPB); Federal Deposit Insurance Corporation (FDIC); Federal Financial Institutions Examination Council (FFIEC); Florida Office of Financial Regulation (OFR), and other state banking regulatory agencies.
  • Principles of banking and finance and securities industry operations.
  • Financial markets and products. 

Skill in:

  • Providing support and guidance for compliance efforts. 
  • Identifying and implementing controls and quality assurance processes.
  • Integrating and aligning compliance processes and procedures with business processes.
  • Coordinating complex compliance activities.
  • Reviewing materials for compliance with rules and regulations.
  • Researching regulatory and compliance topics.
  • Acquiring information and preparing oral and written reports.
  • Preparing and delivering written and oral presentations. 
  • Making rule and risk-based 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 connections and trends, and apply findings to assignments.
  • Interpret and apply banking regulations and identify and recommend 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 partnership with business to be a trusted advisor.
  • 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 three (3) years of experience in Compliance and/or the financial services industry. 
  • Masters degree/Juris Masters, or Juris Doctors preferred, but not required
  • ~or~
  • Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

  • None Required.
  • Appropriate series license(s) for assigned functional area preferred.
  • Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Raymond James Guiding Behaviors 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. 

Job

Compliance

Primary Location

US-FL-St. Petersburg-Saint Petersburg

Organization

RJ Bank

Schedule

Full-time

Shift

Day Job

Travel

Yes, 20 % of the Time

Salary Range: CO, NY, CA, WA (based on Education, Work Experience, and Geographic Location) 80,000 - 85,000

Eligible for Discretionary Bonus No

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Confirmed 4 hours ago. Posted 30+ days ago.

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