Regulatory Compliance Specialist

2 weeks ago


Pittsburgh, Pennsylvania, United States Raymond James Financial Incorporated Full time

Company Overview:
Raymond James Financial Incorporated is a leading financial services firm that provides a comprehensive range of banking and investment solutions.

Position Summary:
The Compliance Risk Analyst will join the Risk Management team and report directly to the Compliance Officer. This role is crucial in ensuring adherence to regulatory standards and safeguarding the integrity of the organization.

Key Responsibilities:
The Compliance Risk Analyst will be responsible for:

  • Conducting thorough investigations into potential suspicious activities related to client accounts and preparing detailed reports on findings.
  • Assisting in the daily assessment of complex transactions to identify any irregularities.
  • Analyzing specific transactions and overall trends within customer accounts to detect activities that deviate from expected behavior.
  • Utilizing various proprietary software tools to facilitate communication with stakeholders and report investigation outcomes to management.

Qualifications:
Education and Experience:

  • A Bachelor’s Degree in Finance, Accounting, Law Enforcement, Social Sciences, or a related discipline.
  • A minimum of 5 years of relevant experience in the financial sector is essential.
  • Familiarity with BSA/AML/USA Patriot Act/OFAC/CIP regulatory requirements is required.
  • Experience in banking operations, particularly in treasury, loans, or deposits, is preferred.

Essential Skills:

  • Proficient in computer applications, including spreadsheet and database reporting tools; adept in Microsoft Office Suite and internet navigation.
  • Basic understanding of financial compliance software such as FiServ FCRM and WireExchange is advantageous.
  • Excellent oral and written communication skills, with the ability to convey complex information clearly.
  • Strong analytical skills to interpret transactions and identify trends.
  • Ability to manage multiple investigations concurrently and prioritize effectively.

Raymond James Financial Incorporated is committed to providing equal employment opportunities to all qualified individuals, regardless of race, color, sex, religion, national origin, age, sexual orientation, gender identity, disability, veteran status, or any other category protected by law.

Core Values:
At Raymond James, we uphold guiding principles that emphasize professional growth, collaboration, decisive action, accountability, and continuous improvement to foster a client-first culture.



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