Senior Advisor, Compliance Executive Reporting
4 days ago
Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification to support executive reporting, strategy and planning for Raymond James' Compliance department and other internal partners as applicable. Collaborates with partners across the firm's control functions and business areas to develop reports, presentations and other materials for senior executives related to key initiatives, issues, regulatory changes, risks, technology and process improvements, and more. Supports the creation of subsequent presentations and communications as needed. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity. Provides comprehensive solutions to complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.
Job Description
Essential Duties and Responsibilities
- Manages the preparation, consolidation and delivery of monthly and quarterly Compliance reports for senior leaders.
- Collaborates with cross-functional teams to gather, validate and analyze Compliance data to ensure accuracy and completeness.
- Develops and maintains reporting templates and tools to streamline recurring reporting processes.
- Monitors reporting timelines and ensure all deliverables meet internal deadlines and quality standards.
- Identifies opportunities for process improvements and automation within the reporting function.
- Supports ad hoc reporting requests and special projects as directed by Compliance leadership.
- Supports the annual review and update process for the Code of Conduct, coordinating with key stakeholders to ensure content remains current, relevant and aligned with regulatory expectations and company values.
- Manages version control, documentation and communication of Code of Conduct updates across the organization.
- Routinely interacts with senior leaders within Compliance, Risk, AML and across the firm.
- May represent the Compliance department on cross-functional projects as they arise.
- Prepares and delivers written and oral presentations to management and other stakeholders.
- Performs other duties and responsibilities as assigned.
Knowledge of:
- Effective reporting and communicating complex information.
- Fundamental investment concepts, practices and procedures used in the securities industry.
- Principles of banking and finance and securities industry operations.
- Gathering, streamlining and communicating complex information in a digestible way.
- Creating reports, presentations and talking points for senior leaders.
- Providing support and guidance for compliance efforts.
- Reviewing materials for compliance with rules and regulations.
- Researching compliance issues.
- Writing, editing and proofreading.
- Microsoft PowerPoint, Word, Excel and SharePoint.
- See projects through from conception to successful execution.
- Absorb unfamiliar topics quickly.
- Attend to detail while maintaining a big picture orientation.
- Partner with other functional areas to accomplish objectives.
- Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.
- Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
- Prioritize tasks and pivot quickly when necessary.
- Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions.
- Work independently as well as collaboratively within a team environment.
- Seek and implement constructive feedback.
- Troubleshoot problems and proactively suggest solutions.
- Provide a high level of customer service.
- Establish and maintain effective working relationships at all levels of the organization.
- Maintain confidentiality.
- Bachelor's degree (B.A. /B.S.) and a minimum of three (3) years of experience in Compliance and/or the financial services industry preferred.
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
- None Required.
- Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.
Education
Work Experience
Certifications
Travel
Less than 25%
Workstyle
Hybrid
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.
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