Advisory Compliance Testing Manager

3 weeks ago

Saint Petersburg, United States Raymond James Full time

Job Summary

Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to ensure firm policies and procedures are designed and operating as intended and commensurate with the level of risk being mitigated. Leads large or multiple testing projects with significant scope and impact for the Investment Advisers Act of 1940 Section 206(4)-7 compliance obligations. 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. Must have knowledge of compliance testing or audit practices and a deep understanding of a controls framework within a complex environment.

Essential Duties and Responsibilities

* Manages compliance tests by reviewing applicable regulations and firm policies/procedures, conducting interviews with key contacts, conducting test execution, identifying issues, and issuing final reports.
* Performs multiple testing engagements concurrently from planning through reporting and produces quality deliverables.
* Collaborates across Compliance teams to maintain a risk-based Compliance Testing program in accordance with the standard and methodology.
* Finalizes test issues and action plans, communicates test findings to management and identifies opportunities for improvement in the design and effectiveness of compliance controls.
* Identifies changes and assist with managing the execution of annual and quarterly updates to the testing plan.
* Possesses intermediate project management and strong interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking.
* Coaches, trains, and mentors less experienced Compliance Specialists.
* May serve as a "team lead" for more junior compliance associates including potentially assisting in the talent selection process. Reviews the policies, procedures, and test findings produced by other compliance associates.
* 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 Management about issues that may involve rule violations or potential liability.
* Researches compliance issues.
* Reports compliance program status and activities to compliance and business management.
* Manages external compliance 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 testing or audit practices.
* Deep understanding of a controls framework within a complex environment.
* Concepts, practices, and procedures of securities industry and/or banking compliance reviews.
* Rules and regulations of the Securities Exchange Commission (SEC) with specific knowledge of the Investment Advisers Act of 1940 requirements; 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 controls and performing quality assurance processes.
* Reviewing materials for compliance with rules and regulations.
* Researching compliance issues.
* Gathering information and preparing oral and written reports.
* Preparing and delivers written and oral presentations.
* Investigating relevant irregularities.
* Operating standard office equipment and using required software applications.

Ability to:

* Provide training, coaching, and mentoring for others.
* 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.
* 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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