Job Description
Job Summary:
Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to assist in drafting supervisory procedures and other related documents. This role will coordinate with leaders within Supervision and other control functions to draft, edit and pre-vet procedures and other documentation needed within Supervision, while taking into account the regulatory environment, internal policies, control adequacy and business model. This role will also assist and partner with compliance partners to pre-vet compliance policy and compliance policy-related documents to confirm supervisory controls align with policy standards, and determine if changes to supervisory procedures are required as a result of those policy changes. May be assigned other tasks, as needed.
Essential Duties And Responsibilities
- Coordinates the creation and/or updating of written supervisory procedures (WSPs) and desktop procedures in response to compliance policy updates, regulatory changes, control changes or otherwise.
- Interfaces with associates of varying levels of seniority to create procedural documents and meeting materials
- Maintains, schedules, and leads/participates in various governance routines.
- Creates meeting agendas and meeting minutes.
- Monitors and keeps up to date with regulations regarding financial services and applies them accordingly.
- Provides critical challenge as part of the supervision governance process.
- Assists in responding to regulatory requests, when appropriate
- Prepares and delivers written and oral presentations to business units.
- Coordinates pre-vetting of policies, procedures or any other applicable document.
- Performs other duties and responsibilities as assigned.
Knowledge Of
Knowledge, Skills, and Abilities:
- Drafting policies or procedures related to the financial services industry.
- Fundamental investment concepts as well as a strong foundation in supervisory concepts, practices and procedures used in the securities industry, financial markets and financial products.
- Risk management concepts in the financial services industry.
- Knowledge of rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies sufficient to perform the functions of this job.
- Human resource management principles and practices
Skill In
- Excellent writing and presentation skills
- Strong PowerPoint skills
- Reviewing materials for compliance with policies, rules and regulations.
- Operating standard office equipment.
- Preparing and delivering presentations.
- Excellent organizational skills and ability to multi-task.
- Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.
- Detail orientated to ensure information is clear, concise and accurate.
- Utilizing business-appropriate phone manners.
Ability To
- Provide training, coaching, and mentoring for others.
- Plan, assign, monitor, review, evaluate the work of 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.
- Interpret and apply securities and/or banking regulations and identify and recommend changes as appropriate.
- Work under pressure on multiple tasks concurrently, manage those delegated and meet deadlines
- Maintain confidentiality.
- Work independently with minimal direct supervision.
- Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels.
- Establish and communicate clear directions and priorities.
- Establish and maintain effective working relationships at all levels of the organization.
- Provide a high level of professionalism.
Educational/Previous Experience Recommendations
- Bachelor’s degree (B.A./B.S.) in a related discipline and a minimum of ten (10) years of experience in Supervision, Compliance and/or the financial services industry. Master’s degree or Law degree preferred.
- 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.
- Series 7 preferred.
Education
Work Experience
Certifications
Other License Not Listed - Other
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.
