Current jobs related to Director, GWS Investment Products Compliance - Orlando, Florida - Raymond James

  • Operations Manager

    3 weeks ago

    Orlando, Florida, United States GW&K Investment Management Full time

    Job SummaryThe Operations Manager at GW&K Investment Management oversees the day-to-day activities of the Operations Team, ensuring all daily functions and responsibilities are performed timely, accurately, and in accordance with best practices and procedures.Key ResponsibilitiesProactively manage and lead a team of 4-6 Operations Specialists, overseeing...

  • Compliance Director

    1 week ago

    Orlando, Florida, United States Medix™ Full time

    Compliance Director Job DescriptionMedix® is seeking a highly skilled Compliance Director to lead our clinical research compliance team. As a key member of our organization, you will be responsible for ensuring that all clinical research activities meet the highest standards of regulatory compliance and quality assurance.Key Responsibilities:Develop and...

  • Compliance Director

    2 weeks ago

    Orlando, Florida, United States Medix™ Full time

    Job SummaryMedix™ is seeking a highly experienced Compliance Director to lead our Compliance Team in ensuring the highest standards of regulatory compliance and quality assurance in our clinical research activities.Key ResponsibilitiesDevelop and Implement Compliance Strategies: Design and execute comprehensive compliance strategies to enhance overall...

  • Executive Director of Multifamily Development and Investment

    3 weeks ago

    Orlando, Florida, United States CBRE Full time

    About the RoleWe are seeking a highly experienced and skilled Senior Vice President of Development and Investment to join our team at CBRE. As a key member of our organization, you will be responsible for leading the development and investment activities in the Orlando, FL market.Key ResponsibilitiesIdentify and acquire new multifamily development...

  • Compliance Director

    3 weeks ago

    Orlando, Florida, United States Charter Research Full time

    Job SummaryWe are seeking a highly experienced Compliance Director to lead our Clinical Research Operations team at Charter Research. As a key member of our organization, you will be responsible for ensuring the highest standards of compliance and regulatory excellence in all our clinical research activities.Key ResponsibilitiesDevelop and implement quality...

  • Market Investment Executive

    2 weeks ago

    Orlando, Florida, United States Bank of America Full time

    Market Investment ExecutiveAt Bank of America, we are committed to helping our clients achieve their financial goals through responsible growth. As a Market Investment Executive, you will play a critical role in expanding our investment business for high net worth clients.Key Responsibilities:Develop and implement customized investment strategies to meet the...

  • Market Investment Executive

    6 days ago

    Orlando, Florida, United States Bank of America Full time

    Job Description:At Bank of America, we are committed to helping our clients achieve their financial goals through our expertise in investment management. We are seeking a highly skilled Market Investment Executive to oversee the expansion of our investment business for high net worth clients.Key Responsibilities:Develop customized investment strategies to...

  • Head of Regulatory Compliance

    4 weeks ago

    Orlando, Florida, United States Charter Research Full time

    COMPANY OVERVIEWCharter Research is a dynamic clinical research organization located in Florida, focused on the development of innovative pharmaceuticals. We are committed to delivering outstanding patient experiences and effective recruitment strategies for our sponsors. We are currently seeking a Director of Compliance Operations to enhance our team in...

  • Director of Digital Product Design

    2 weeks ago

    Orlando, Florida, United States Travel + Leisure Co Full time

    Job SummaryWe are seeking a highly skilled and experienced Director of Digital Product Design to lead our digital product design team at Travel + Leisure Co. As a key member of our Digital Technologies organization, you will be responsible for developing and executing a strategic vision for our digital products, driving innovation and excellence in...

  • Technical Director

    2 weeks ago

    Orlando, Florida, United States Electronic Arts Full time

    Job Title: Technical Director - Game Production SolutionsWe are seeking a highly skilled Technical Director to lead our Game Production Solutions team at Electronic Arts. As a key member of our Creative Technologies division, you will be responsible for driving the technical strategy and vision for our game development teams.About the Role:Lead a dynamic...

  • Senior Manager of Research Compliance

    3 weeks ago

    Orlando, Florida, United States Nemours Children\'s Health Full time

    Job Summary:The Associate Director for Post-Award Financial Management will work closely with principal investigators and research administration to ensure regulatory compliance, oversee processes, and optimize operations. This role will be responsible for managing staff who are responsible for the post-award financial management of sponsored projects at...

  • Operations Director

    2 weeks ago

    Orlando, Florida, United States CUES Full time

    {"title": "Operations Director", "description": "Job SummaryAs a key member of the Inspection platform's senior leadership team, the Operations Director will drive strategic initiatives, standard processes, and operating cadence to achieve revenue and margin growth, strategy deployment, continuous improvement, and inorganic growth/integrations.Key...

  • Investment Banking Analyst

    4 weeks ago

    Orlando, Florida, United States Raymond James Full time

    Job Title: Investment Banking Analyst I - Consumer GroupCompany Overview:Raymond James is recognized as one of the leading independent financial services firms in the nation, offering a platform for career growth that exceeds expectations. Our mission is to deliver reliable advice and customized, sophisticated strategies tailored for both individuals and...

  • Capital Investment Relations Specialist

    4 weeks ago

    Orlando, Florida, United States DLP Capital Full time

    The Capital Investment Relations Specialist will spearhead initiatives to attract new capital contributions from potential and current investors, cultivate relationships with Centers of Influence (COIs) and Registered Investment Advisors (RIAs)/Family Offices, manage and support existing investors while securing additional capital, referrals, and event...

  • Regulatory Affairs Director

    7 days ago

    Orlando, Florida, United States VirtualVocations Full time

    VirtualVocations is seeking a seasoned professional to lead its Lifecycle Regulatory team. As Director of Regulatory Affairs, you will be responsible for developing and executing global regulatory strategies for commercialized products. Your expertise in ensuring compliance with regulatory Conditions of Approval and overseeing advertising and promotion...

  • IT Compliance Manager

    3 weeks ago

    Orlando, Florida, United States Universal Orlando Resort Full time

    Job Description & Requirements Universal Orlando Resort values in-person collaboration as a cornerstone of our success. Many of our Team Members operate in a hybrid model, engaging from the workplace at least three days per week. Certain roles necessitate full-time on-site presence, while limited remote opportunities may be available in specific...

  • Director of Digital Product Design

    3 weeks ago

    Orlando, Florida, United States Travel + Leisure Co Full time

    About the RoleWe are seeking a highly skilled and experienced Director of Digital Product Design to lead our experience design team within our Digital Technologies organization. As a key member of our team, you will be responsible for developing and executing a strategic vision for our digital products, driving results across all organizational levels, and...

  • Technical Director

    2 weeks ago

    Orlando, Florida, United States Electronic Arts Full time

    About the RoleWe are seeking a highly skilled Technical Director to lead our Game Production Solutions team at Electronic Arts. As a key member of our Creative Technologies division, you will be responsible for overseeing the development and implementation of our game production solutions, ensuring they meet the highest standards of quality and...

  • Compliance and Operations Manager

    4 weeks ago

    Orlando, Florida, United States Scale Up Media Full time

    Job DescriptionAbout Us:At Scale Up Media Agency, we prioritize excellence in compliance and regulatory standards within the healthcare sector. We are on the lookout for a proficient and committed Operations Manager with a specialization in Compliance to support our COO in daily operations and ensure the flawless execution of our compliance protocols. This...

  • Director of Quality Assurance

    4 hours ago

    Orlando, Florida, United States Regal Marine Industries Inc Full time

    Job Title: Director of QualityRegal Marine Industries, Inc. is seeking a highly skilled and experienced Director of Quality to join our team. As a key member of our leadership team, you will be responsible for ensuring the highest quality standards are met in all aspects of our business.Key Responsibilities:Develop and implement quality control programs to...

Director, GWS Investment Products Compliance

3 months ago

Orlando, Florida, United States Raymond James Full time
Job Description - Director, GWS Investment Products Compliance
Job Description
Director, GWS Investment Products Compliance

2401703
Description
Job Summary

Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to support the design, implementation, and oversight of a comprehensive compliance program for Global Wealth Solutions ("GWS") Investment Products.

Leads major projects, programs, or processes with significant business impact. Influences strategic direction and develops tactical plans and completes complex assignments. Maintains extensive contact with customers and regulatory agencies to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities
·

Develops and maintains compliance programs, systems, policies, and procedures to ensure compliance with federal, state, and self-regulatory regulations. Minimizes the firm's risk exposure while balancing business concerns.
·

Evaluates compliance and risk management controls and recommends appropriate changes, as required.
·


Serves as a subject matter expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations.

·

Partners with GWS business leaders as well as Supervision, Risk, and Legal on key projects and initiatives.
·

Recommends compliance solutions for the firm while fostering positive business relationships with department associates and branch associates/affiliates.
·

Evaluates the compliance risks, disclosures, and controls for new products and services and potential conflicts of interest.
·

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

Coaches, trains, and mentors other Compliance associates.
·

Serves as the primary liaison between the organization and industry regulators by responding to inquiries, audits, and investigations.
·

May serve as a liaison between the organization and industry committees such as SIA, FSI, and the FINRA.
·

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

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

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

Performs other duties and responsibilities as assigned.
Qualifications
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.
·

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
Education/Previous Experience

  • 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.
  • 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

Job

Compliance
Primary Location

Other Locations

Other Locations

United States
Organization

Organization

RJF Corporate
Schedule

Schedule

Full-time
Shift

Shift

Day Job
Travel

Travel

Yes, 20 % of the Time

Salary Range:
CO, CA, DC, HI, IL, NJ, NY, WA (based on Education, Work Experience, and Geographic Location)

130, ,000

Raymond James & Associates, Inc., member / , and Raymond James Financial Services, Inc., member / , are subsidiaries of Raymond James Financial, Inc.

New York Stock Exchange SIPC FINRA SIPC
Raymond James and Raymond James Financial are registered trademarks of Raymond James Financial, Inc.

#J-18808-Ljbffr