Compliance Manager- Capital Markets Branch Exams (Remote)-2402609
Description
Job Summary
Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in securities and / or the banking industry to manage assigned compliance branch examinations.
Ensures adherence to firm policies and procedures through branch examinations which include several risk reviews and associate interviews.
The examiner is expected to document all examination results and issue a formal writeup to be shared with all necessary stakeholders.
Essential Duties and Responsibilities
- Coaches, trains, and mentors less experienced compliance associates.
- Manages compliance exams by reviewing applicable regulations and firm policies, conducting interviews with key contacts, conducting test execution, identifying issues, and issuing final reports.
- May review the test findings produced by other compliance associates.
- Partner with business units to recommend policy, process and / or control changes / enhancements to management.
- 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.
- Assists management to implement adequate controls and quality assurance processes to detect and address potential compliance problems.
- Research compliance issues.
- Reports compliance program status and activities to compliance and business management.
- Prepares and delivers written and oral presentations to management.
- Stays up to date with evolving industry and regulatory changes impacting the business.
- Performs other duties and responsibilities as assigned.
- Travel to various Capital Market locations to meet our regulatory requirement to conduct branch examinations.
Qualifications
Raymond James Guiding BehaviorsAt 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 firmAt 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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