Senior Advisor, Compliance Oversight

1 month ago

Saint Petersburg, United States Raymond James Full time

Job Summary

Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry to ensure firm policies and procedures are designed and operating as intended and commensurate with the level of risk being mitigated. Coordinates compliance functions, guides compliance efforts, and act as a liaison between functional areas. Leads large or multiple oversight assessments 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

* Manages Oversight assessments by reviewing applicable regulations and firm policies/procedures, conducting interviews with key contacts, conducting assessment execution, identifying issues, and issuing final reports.
* Oversees compliance program for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes.
* Performs multiple assessment engagements concurrently from planning through reporting and produces quality deliverables.
* Collaborates across multiple business units to maintain a risk-based Compliance Oversight program in accordance with the standard and methodology.
* Finalizes assessment issues and improvement plans, communicates oversight findings to management and identifies opportunities for improvement in the design and effectiveness of compliance controls.
* Directs adjustments to existing programs, policies, and procedures, as required.
* 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 appropriate Senior Management 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.
* Research compliance issues.
* Monitors exception and other internal reports for employee adherence with rules and regulations.
* Advises Senior Compliance Management on issues that involve possible rule violations and potential liability.
* Addresses sensitive compliance issues with Management in assigned functional area.
* Participates in corporate policy discussions related to compliance.
* Reviews documentation related to compliance issues for validity and alignment with organizational policies.
* May coordinate and/or oversee responses to regulatory agency inquiries.
* Reports compliance program status and activities to compliance and business management personnel.
* Manages 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.

Knowledge, Skills, and Abilities

Knowledge of:

* Compliance assurance, audit or testing practices.
* Concepts, practices, and procedures of securities industry and/or banking compliance reviews.
* Understanding of a control's framework within a complex environment.
* 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:

* 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.
* Gathering information, preparing and delivering written and oral reports and 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.

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.
* ~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.

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