This position will follow our hybrid work model; we expect the selected candidate to work 3-days a week at one of our corporate home offices, which are located in St. Petersburg, FL, Memphis, TN and Southfield, MI.
Job Summary:
Under administrative direction, and with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to manage and oversee the non-financial regulatory reporting function for Raymond James. The leader will regularly interact with industry regulators, vendors, compliance and legal. Leads large projects, programs or processes with significant business impact involving cross-functional teams. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Regular contact with various departments of Raymond James Financial and Senior Management is required, to provide comprehensive solutions to complex problems or needs.
Essential Duties and Responsibilities:
- Plans, assigns, monitors, reviews, evaluates and leads the work of subordinate managers and supervisors.
- Performs human resource management activities, including coaching and mentoring subordinates within a performance management culture.
- Coaches and mentors subordinates, identifies training needs, and creates development plans. Interprets, applies and recommends changes to organizational policies and procedures.
- Collaborates with trading, compliance and technology to identify and implement solutions.
- Stays informed of regulatory developments and industry best practices to ensure the non-financial regulatory reporting with FINRA, IRS, SEC, remains current and effective.
- Prepares and presents comprehensive reports and findings to senior management and regulators.
- Responsible for management of multiple vendor relationships, including selection, replacement ongoing oversight and controls.
- Responds to and oversees responses to regulatory inquires, as needed.
- Establishes objectives with a sense of urgency and develops processes and procedures to ensure efficient and timely work flow.
- Works with product managers and information technology groups to create system requirements that will facilitate processes; moves projects through to implementation.
- Performs periodic reporting on work progress, project completions and additional ad-hoc reporting as required.
- Maintains regular contact with senior manager and other internal customers to identify, research, and resolve issues.
- Ensures effective coordination occurs between assigned functional area(s) and other areas.
- Identifies trends and implements corrective action as necessary.
- Uses financial data and performance indicators to establish control mechanisms and other improvement initiatives.
- Develop and administer policies, procedures, and budget for the department. Ensure policies and procedures are interpreted and carried out properly.
- Performs other duties and responsibilities as assigned.
Qualifications:
Knowledge, Skills, and Abilities:
Knowledge of:
- Company’s working structure, policies, mission, and strategies.
- Project management methodology sufficient to act in a sponsorship role.
- Principles of finance and securities industry operations.
- Proven experience in compliance, risk or a related field within the financial services industry.
- Financial industry regulation such as FINRA Consolidated Audit Trail (CAT) and Customer Account Information System (CAIS), Large Options Position Report (LOPR)
- Financial markets and products.
- Performance management.
Skill in:
- Preparing operational budgets.
- Interpreting and applying policies and procedures.
- Establishing operational objectives.
- Implementing processes and procedures for efficient and timely work flow.
- Preparing management reports.
- Promoting effective coordination between work groups.
- Project management skills and experience sufficient to successfully complete long and short-term projects.
Ability to:
- Plan, assign, monitor, review, evaluate and supervise the work of others.
- Coach and mentor others.
- Identify training needs and develop subordinates.
- Balance conflicting resource and priority demands.
- Maintain currency in assigned area of responsibility.
- Partner with other functional areas to accomplish objectives.
- Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
- Plan, assign, monitor, review, evaluate and supervise the work of others.
- Coach and mentor others.
- Identify training needs and develop subordinates.
- Balance conflicting resource and priority demands.
- Maintain currency in assigned area of responsibility.
- Partner with other functional areas to accomplish objectives.
- Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
- Incorporate needs, wants and goals from different business unit perspectives into operational processes.
- Read, interpret, analyze and apply information from job-related publications.
- Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes.
- Interpret and apply policies.
- Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
- Communicate effectively, both orally and in writing.
- Work independently as well as collaboratively within a team environment.
- Lead others in providing a high level of customer service
- Establish and maintain effective working relationships at all levels of the organization.
Educational/Previous Experience Requirements:
- Bachelor’s Degree (B.A.) in finance, business administration or related field and eight (8) years experience in financial services, including five (5) years in a management position.
OR ~
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications: - SIE required provided that an exemption or grandfathering cannot be applied.
- Series 99, or ability to obtain within 120 days (as required by FINRA), required
- (Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination.)
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.
Job :
Operations
Primary Location :
US-FL-St. Petersburg-Saint Petersburg
Organization :
Operations & Administration
Schedule :
Full-time
Shift :
Day Job
Travel :
Yes, 20 % of the Time
Eligible for Discretionary Bonus :
Yes
